Fy19 Fra Amrp

United States Department of Transportation
Annual Modal Research Plans

FEDERAL RAILROAD ADMINISTRATION
MAY 1, 2018
DR. MARYAM ALLAHYAR, OFFICE OF RESEARCH, DEVELOPMENT & TECHNOLOGY
Executive Summary
The Federal Railroad Administration’s (FRA) Office of Research, Development and Technology (RD&T) mission is
to ensure the safe, efficient, and reliable movement of people and goods by rail. We achieve this goal through basic
and applied research, and development of innovations and solutions. Safety is the Department of Transportation’s
(DOT) primary strategic goal and, thus, the principal driver of FRA’s RD&T program. FRA’s RD&T program also
contributes to other DOT strategic goals because safety-focused projects typically yield solutions affecting
infrastructure, innovation, and accountability goals. The RD&T program also has an important role to play in
workforce development by addressing workforce challenges.
FRA’s RD&T program is founded on an understanding of safety risks in the industry. Through threat identification
and risk analysis FRA identifies opportunities to reduce the likelihood of accidents and incidents, and to limit the
consequences of hazardous events should they occur. Key research and development strategies include
stakeholder input and engagement partnerships with other researchers, such as the Association of American
Railroads (AAR) and the American Short Line Railroad Association (ASLRRA). Additionally, research projects are
strategically prioritized and conducted through cost-effective procurement. Current high priority issues for FRA
include: Positive Train Control (PTC), grade crossing safety, trespass prevention, autonomous vehicles, safe
transportation of energy products, automation technology, and predictive analytics. Three of the five high priority
projects include machine learning or automation solutions to improve the safety of America’s railways.
FRA’s RD&T program consists of 10 critical program areas, which include:
1. Hazardous Material (HazMat) Transportation

2. Track and Structures
3. Rolling Stock
4. Highway-Rail Grade Crossing and Trespassing
5. Human Factors
6. Train Control
7. Train Occupant Protection
8. Track/Train Interaction
9. Testing Facilities and Equipment
10. Railroad Systems Issues
Aligned with DOT’s Office of the Assistant Secretary for Research and Technology (OST-R) research objectives, FRA
research identifies and addresses safety issues across the railroad industry, including high-risk, and long-term
research. An example of this is the Autonomous Track Geometry Measurement (ATGMS) project where FRA
identified the need for automated inspection and over a 15-year period (2002–2017) from proof of concept to
deployment and commercialization. The sustained funding of FRA’s research and development mission enables
pursuit of specific research needs. This allows FRA to initially bear the costs and risks for research that the railroad
industry is unable to pursue. The results of which lead to innovative solutions that may not have been otherwise
realized.
Research Program Summaries:
Hazardous Material Transportation

The Hazardous Materials (HazMat) research program fosters innovation throughout the industry, helping with the
development of new regulations and design standards that improve the safety and integrity of tank cars and other
packages carrying hazardous materials. It aids the continuing growth of new research programs that satisfy the
need of the industry and government.
Track and Structures

Strategic priorities for the Track and Structures program include: developing track inspection technologies;
developing computer modeling capabilities; expanding the use of autonomous inspection methods; and developing
new techniques for monitoring difficult to detect safety issues. Failure of track and infrastructure is the second
leading cause of train derailments in the United States. Atypical interaction between moving vehicles and the track
is a common cause of derailments.
Rolling Stock
Research efforts in the Rolling Stock program focus on the development and improvement of equipment defect
detection and control. Both wayside and on-board detection and control systems offer diverse platforms for such
research and demonstration.
Highway-Rail Grade Crossing and Trespassing

Approximately 212,000 highway-rail grade crossings exist in approximately 140,000 miles of track that make up
the United States’ railroad system. In 2017, 273 individuals died at railroad crossings. This figure is up from 255 in
2016, 236 in 2015, 262 in 2014, and 232 in 2013. FRA issues and enforces regulations on grade crossing safety and
sponsors research aimed at reducing grade crossing accidents and fatalities. FRA also promotes education and
awareness of grade crossing and trespassing to reduce incidents and prevent fatalities. Trespassing along railroad
rights-of-way is the leading cause of rail-related deaths in America. Nationally, more than 400 trespass fatalities
occur each year, the vast majority of which are preventable.
Human Factors
The objectives of FRA's Human Factors RD&T program is to improve the safety of rail transportation. Human
Factors research is focused on conducting pilot trials and studies to improve safety and the organizational culture
in railroad organizations; research on fatigue, distraction and ergonomics to address individual and team behavior;
and developing technology, automation, and systems design to minimize the potential for human errors.
Train Control and Communication

Train control, which cuts across virtually all the RD&T program elements, includes the use of sensors, computers,
and digital communications to collect, process, and disseminate information to improve the safety, security, and
operational effectiveness of railroad. FRA and the railroad industry are working on the development of Intelligent
Railroad Systems that would incorporate new sensor, computer, and digital communications technologies into
train control, braking systems, grade crossings, and defect detection.
Train Occupant Protection

The Train Occupant Protection program conducts research on structural crashworthiness and interior safety of
locomotives and intercity and commuter rail cars with the aim of improving the survivability of rail passengers and
AMRP Template FY2019-FY2020 2/15/2018 Page 2

crewmembers in accidents. The goal of this research program is to promote and improve the safety of the national
passenger rail transportation system.
Track/Train Interaction
The Track/Train Interaction program addresses the safety implications arising from the dynamic interaction
between track and train. This program supports the development of performance-based safety standards and
industry guidelines for vehicle/track interaction safety and ride quality.
Testing Facilities and Equipment

The RD&T Facilities and Test Equipment program addresses the acquisition, upgrading, and maintenance of FRA-
owned facilities and equipment required to accomplish the whole spectrum of railroad research objectives and
projects. FRA oversees the DOT Transportation Technology Center (TTC) in Pueblo, CO, located on 52 square miles
of land leased from the State of Colorado. Since its dedication as the High-Speed Ground Test Center in 1971, it has
played an important part in research, development, and testing of rail infrastructure and equipment.

High Priority Research Projects for FY 2019:
Track Research Program - Priority Research Project 1: Track Support and Substructure:
Quantification of Track Instabilities due to Ballast Movement using Integrated Sensor Networks (SmartRock/iBeacon)
$186,000
The objective of this research is to develop a sensor network consisting of data broadcasting technology that will
provide abnormal track instability data that can be automatically acquired from a moving platform (geometry car).
This data will provide the railroad industry the enhanced capability to detect instabilities in track infrastructure
providing the means to adapt and correct for these abnormalities and instabilities and improve safety.
Activities for FY19 include:

• Revenue service (actual train) testing of iBeacons with Amtrak
• Using a hirail vehicle, with scientists onboard and along the test track, test data collection in real time
• Based on success of hirail data collection, test data collection capabilities on locomotives
• Development and testing of the iBeacon system to be installed within a locomotive, providing real-time
communication between SmartRocks and locomotives
Who else is researching this issue?

No one else is researching this issue.
Have we invested in this topic in the past and what have we learned to date?
Past research efforts have focused on the successful development of the SmartRock. RD&T has learned through the
analysis of previous SmartRock collected data, that it is possible to quantify and set threshold values on the ballast
stability (i.e., ballast failure mechanism and criteria) based on ballast particle contact and movement
characteristics.
Quantification of the ballast failure mechanism and criteria together with advanced sensors and communication
protocols allowing for real time communication with moving locomotives, are building blocks of a future “real-time
ballast stability evaluation and monitoring program,” which will enhance the understanding of ballast particle
movement and track safety. Future efforts will focus on the development of the iBeacon system to be installed
within a locomotive and provide real-time communication between SmartRocks and locomotives.
Alignment with DOT Strategic Goals

The project aligns with the DOT Strategic Goals of Safety, Innovation, Infrastructure, and Accountability.
Expected total project cost and expected funding for FY 2019

Total project cost is estimated at $323K over 2 years. Year 1 ($186K), Year 2 ($137K)
Is there a non-Federal financial contribution? If so, how much?

Yes, there is a non-Federal financial contribution estimated at $49K.

Rolling Stock – Priority Research Project 2: Rolling Stock Component Safety:
Brake System Behavior – Very Long Trains (VLT) $250,000
Major Class I railroads in the U.S. have begun operations that involve VLTs. The railroad industry uses VLTs to
enhance economic competitiveness through better use of fuel, locomotive power, and rail cars, without having to
add extra crew. However, VLTs may pose safety risks related to operations and train handling. Locomotive
engineers are trained and familiar with running trains at normal length. Initiation of brakes and application of
sufficient propulsion based on terrain and environment is based on adequate specialized training and
experience. The required braking forces and resulting stopping distances for normal length trains is very different
for VLTs. Brake propagation down the train line, in-train forces, track grade, track curvature, rail conditions (i.e.,
wet, lubricated, or dry) all affect the capability of a train to be stopped and handled appropriately and safely.
Why should we pursue (or invest in) this research?

There is an urgent need to better understand the different operating environments and requirements for VLTs.
FRA’s RD&T investment in this project will identify significant issues pertaining to the safe operation of VLTs as
affected by air brake use. Recent accidents involving VLTs in rural areas, like West Virginia, require FRA to
research safety issues related to VLT. As VLTs are increasingly used, FRA investment in this research ensures the
timely implementation of effective strategies aimed at improving the safety of rail transportation for the American
public through conducting analytical simulations of long trains using the Train Energy and Dynamics Simulator
(TEDS) under varying operating and train make-up configurations.

No one else is researching this issue.
Foundational research using simulations began in 2018 to better understand the issues surrounding braking of
VLT.
Objectives, activities, and what is the problem being addressed?

This research investigates significant issues pertaining to safe operation of VLT as affected by automatic air brake
use. The research outcome will help stakeholders understand how the increase of air brake signal propagation
time for a VLT impacts the application and release of brakes on the cars in the consist (a set of railcars forming a
train), and identify any resulting issues. This effort will also allow FRA to identify and better understand how air
brake system leakage in VLT affects the brake pipe and brake cylinder pressure on cars located near the rear end of
the train, especially in consists that do not use distributed power.
In 2019, research will begin with instrumentation and testing of a VLT in revenue service. Real world data on
operations and braking of these trains over different routes, with and without distributed power over varying
conditions of the rail (i.e., wet, icy, lubricated, dry, etc.) will be gathered in the main research effort. This will entail
precisely placing locomotives at intermediate points throughout the consist. Initiating the project in the fall of
2019 will allow for test operations during various weather conditions resulting in complete data gathering as
related to various rail conditions.
Knowledge will be gained on brake cylinder pressure recharge times in VLT, and if an issue, quantification of the
recharge time after full service or emergency braking operations for VLT. It will also allow for, investigation of the
capability of the current locomotive air compressor capacity to supply air to charge a train. With the results and
recommendations of this research, FRA will address potential requirements and standards to modify current air
brake and handling operations of VLT.
Alignment with DOT Strategic goals
The three DOT Strategic Goals met through this research are Safety, Innovation, and Infrastructure. Benefits
include improved safety standards, lower operating costs, reduced railroad accidents and fatalities, and improved
service life for rolling stock equipment.

The expected total project cost is $421,761 and expected funding in FY19 is $250,000.

The railroads will provide in-kind contributions by loaning railroad equipment and the air brake manufacturers
will provide their technical assistance.
Train Control and Communication – Priority Research Project 3: Positive Train Control (PTC) Research:
Note: PTC research includes multiple contracts with three priority contracts discussed as part of Project 3.
A. Railroad Crossing Violation Warning System (RCVW) $850,000
The Railroad Crossing Violation Warning System uses the connected vehicle infrastructure and grade crossing
status to determine if a vehicle is about to violate the active grade crossing warning (i.e., flashing lights and bells)
and about to crash into the crossing barrier and/or the train. The system warns the driver of this potential, and if
no action is taken, the onboard system will automatically stop the vehicle short of the crossing gate.
Development started in FY 2017, and a successful demonstration of the prototype system was demonstrated in FY
2018 with potential for improvement and transfer and commercialization.

It is necessary for railroad systems and traffic control infrastructure to communicate with approaching vehicles to
facilitate their safe and consistent navigation of highway-rail grade crossings. Significant agency and private sector
cooperation is required to achieve connection. Government investment is necessary at this early stage because the
risk is high and business case analyses are not compelling for private investment.

No one specifically is researching this issue. Automotive manufacturers are researching and providing similar
automated safety systems; however, suppliers and automotive manufactures are providing in-kind support and
some matching funds.
Yes, FRA has proved the viability of the technology and successfully demonstrated a prototype system.
Objectives, activities, and what is the problem addressed?

RD&T’s objectives:
• Develop integrated solutions for connected-automated vehicle systems, railroads, and grade crossing
infrastructure.
• Develop minimum connected infrastructure requirements for supporting safe navigation of grade crossings.
• Support large scale field operation tests and model deployments to foster innovation and collaboration.
This project specifically addresses the following issues within this environment:

• Reducing fatalities and accidents at grade crossings
• Improving communication between railroad systems and traffic control to facilitate safe and consistent
navigation of highway-rail grade crossings
• Strengthening coordination between government safety agencies and private developers
FY19 Activities:
• Refining RCVW algorithms for consistent performance under challenging scenarios
• Evaluating diverse data stream requirements for safety critical operation
• Field testing and performance evaluation

RCVW supports DOT Strategic Goals by improving Safety at grade crossings by enabling autonomous and
connected vehicles to safely negotiate grade crossings.

The planned project total cost is $2,000,000. The planned funding for FY 2019 is $850,000.

Yes. Suppliers and automotive manufactures are providing in-kind support through cost-free participation in the
project stakeholder and technical advisory groups. Some matching funds in the form of equipment donation and
support from highway infrastructure suppliers and connected vehicle equipment manufacturers have been
pledged.
B. GradeDec $25,000
Meeting the Office of Management and Budget (OMB) and U.S. DOT requirements for benefit-cost analysis of
infrastructure investments, GradeDec.Net is the railroad industry standard for highway–rail grade crossing
investment analysis. Class I railroads, U.S. DOT, State DOTs, metropolitan planning organizations, and
transportation researchers rely on GradeDec for benefit-cost analysis, especially for grade crossing closure and
separation. It is an online tool located on the FRA website and helps over 1,400 users address grade crossing safety
and transportation network management issues. Twenty States and multiple jurisdictions depend upon the
established reliability of GradeDec.Net.
GradeDec.Net measures the benefits and costs of safety, travel time, vehicle operating costs, and environmental
benefits of grade crossing investments. GradeDec users can evaluate a single crossing or all crossings along a
railroad corridor or within a geographic region. State DOTs can identify the most dangerous crossings on a
passenger rail corridor or within a metropolitan area, county, or the entire State.

This project supports FRA’s mission to reduce accidents at highway-rail grade crossings. It encourages the use and
development of cost-effective and innovative signaling technologies. GradeDec.Net is the only infrastructure
benefit-cost analysis tool provided by U.S. DOT. It is used by the general public, the railroad industry, and State and
local governments.

National Academies of Science, Transportation Research Board (TRB), State DOTs, university engineering
departments, and metropolitan planning organizations. These organizations and their consultants use GradeDec as

part of their research efforts to improve safety and efficiency on the U.S. These parties provide FRA suggestions to
improve and update GradeDec. These researchers also conduct separate research projects to customize GradeDec.
Yes, FRA has invested in grade crossing research and GradeDec in the past. Current research finds that driver risk
increases in highly congested areas. More tools are needed to help States implement pre-emptive signaling,
especially on rail corridors governed by PTC systems.

The objective of GradeDec is to reduce traveler delay and bottlenecks and improve safety at grade crossings by
allowing GradeDec users to evaluate pre-emptive signaling systems at heavily-traveled highway-rail at-grade
crossings. Users will have the option to invest in the most cost-effective technologies to redirect highway traffic
away from congested grade crossings during peak travel times. Activities include GradeDec updates and
improvements and two on-site workshops in response to State DOT requests.

This project aligns with the DOT Strategic Goals of Safety, Infrastructure, and Accountability. GradeDec supports
DOT Strategic Goals by improving safety and supporting economic growth. GradeDec is used to identify high-risk
crossings and to manage highway delay and bottlenecks.

Total project costs for web hosting, database management, software maintenance, and updates since 2002 is
$790,000. Expected funding for FY 2019 is $25,000.

FRA does not have an estimate of railroad financial contribution at this time. In-kind labor will be provided as the
following software services: testing, coding, and recommendations for improvements.
C. Generalized Train Movement Simulation (GTMS) $75,000
The GTMS is an online, web-based risk assessment modeling tool developed by FRA RD&T. It is designed to model
train movement in highly complex railroad operating environments; simulate multiple braking algorithms
including adaptive braking; generate and manage records of time, position, and speed of each train; and quantify
network and dispatcher-induced train delay for all trains by train type. FRA uses GTMS in cooperation with the
Class I railroads to evaluate the effects of PTC systems on accident risk and railroad network capacity. FRA uses
GTMS to estimate the costs and benefits of new safety regulations.
State DOTs and their consultants use GTMS to evaluate the capital costs of adding or increasing passenger rail
service on freight rail lines. GTMS is an open source tool available to the public upon request. Expert users are able
to modify the software code to replicate unique operating practices considered private and confidential.

GTMS is used to evaluate the economic costs and benefits of FRA’s Office of Railroad Safety (RRS) regulations, to
estimate the impact of adding or increasing passenger rail service on freight rail lines, and to estimate the risk
associated with implementing upgrades to PTC systems.

FRA RRS, AAR, the TTC, university engineering departments, and Class I railroads. AAR, all seven Class I railroads,
and university engineering departments have established GTMS accounts to conduct research on the effects of PTC
on railroad network capacity. Since GTMS is open source, Class I railroads intend to customize it to model secure
and sensitive information (e.g., operation plans and communication systems). FRA RRS plans to use GTMS to
evaluate the safety impact new PTC technologies.
GTMS now imports track infrastructure files and its open-source code allows users to modify the software to
account for unique attributes of their system.

This project will quantify railroad risk under any conceivable signaling system, estimate the impact of PTC
communication-based failures on railroad network capacity, and measure system random access memory
Reliability, Availability, and Maintenance (RAM) metrics. All seven Class I railroads have access to GTMS open-
source code as an executable file or as an online secure user account. FRA RRS plans to use GTMS to evaluate
proposed changes to PTC systems intended to further reduce the risk of PTC preventable accidents.
Currently, GTMS input and output is at the subdivision level. Additional work in FY19 will allow users to link
multiple subdivisions to form an entire railroad division. GTMS updates and revisions will customize the
dispatcher algorithm to meet multiple optimization strategies.

This project aligns with the DOT Strategic Goals of Safety, Infrastructure, and Accountability.

Total project cost for research, software development, web hosting, database management, and 24-hour database
server support, updates, and maintenance is $4 million. Estimated FY 2019 cost is $75,000.

The Class I railroads will contribute to future development and maintenance of this tool. FRA does not have an
estimate of railroads financial contribution at this time. In-kind, labor will be provided as the following software
services: testing, coding, and recommendations for improvements.
Train Control and Communication - Priority Research Project 4: Grade Crossing Safety and Trespass Prevention:
Investigating the Use of Artificial Intelligence in Railroad Systems $200,000
This research will investigate the use of artificial intelligence and data analytics to help researchers determine
environmental and human factors that cause people to trespass on railroad right-of-way (ROW).

Trespass is the main cause of accidents that occur on the railroads’ ROW. The results of this FRA research project
would not only increase the level of confidence in the detection of railroad trespassers, but also provide potential
cost savings to the railroads and its partners, and increase public safety. There are methods to detect trespassers
using live video, but no effective way to recognize a trespasser with a high level of confidence. While video
recording devices installed on locomotives record all events happening ahead of the train, there is always a
possibility of error in detecting a trespasser. Machine learning algorithms to be researched and investigated
through this project could provide the missing gap in active trespass detection.

Some universities have started considering video analytics (Massachusetts Institute Technology, Rutgers
University, and University of South Carolina, among others). While this area of research is still at a very early stage
of development, it is anticipated that FRA will collaborate with both the Class I railroads, universities and private
sector to develop the appropriate algorithms.
FRA has considered big data mining to analyze accident statistics and trends, but no research has been undertaken
with respect to video learning.

The objective of this research is to develop a machine learning algorithm capable of analyzing video from several
sources and detect whether there is a trespass occurring or has been recorded without knowledge by the train
crew. Cameras are installed on locomotives and on several locations along the ROW (e.g., stations, grade crossings,
among others). There is a need, however, to have the ability to recognize when a trespass event occurs.
This is a brand-new project with deliverables to be determined based on the proposals received. The high-level
objectives are described above. The project is currently being advertised through the Broad Agency Announcement
(BAA).

This project supports DOT Strategic Goals of Safety, Innovation, and Accountability.

$200,000 is the expected initial amount for FY2019. However, additional funds will be needed depending on
proposals and how the project unfolds in future years.

Non-Federal funding will be determined as the proposals are evaluated and selected.
Human Factors –Priority Research Project 5: Automation, Operating Personnel Information Management and Control:
Note: Automation, Operating Personnel Information Management and Control research includes multiple contracts
with two priority contracts discussed as part of Project 5.
A. Monitoring Engineer Fatigue (MEFA) System $179,580

Across all transportation modes, fatigue impacts performance. According the National Transportation Board
(NTSB) “Fatigue can be just as deadly in transportation as alcohol and drug impairment, and fatigued drivers and
operators regularly cause accidents.” Degraded engineer performance is a significant contributor to most major
accidents in the rail industry, with engineers missing wayside signals, having reduced situation awareness, or
falling asleep while operating the locomotive. This performance level is often due to simple human error that is
most often immediately corrected, but when an engineer is fatigued, the likelihood of corrective action decreases
and the risk for a major accident increases.
FRA will develop the Monitoring Engineer Fatigue (MEFA) system as a means of improving locomotive operational
safety. MEFA is an in-cab, passive monitoring system of motion sensors and intelligent software capable of
detecting and signaling when a locomotive engineer is less vigilant due to fatigue. The system relies on multiple

physiological and behavioral cues from the sensors to infer the engineer’s level of fatigue. MEFA will consist of a
critical fail-safe monitoring system that existing Alerter systems do not have.

The current detection and intervention method is the standard locomotive Alerter system, which monitors for
frequent engineer interaction with the locomotive control panel. If there is no activity registered within a
randomized period of time, the Alerter will activate a loud audio alert believed to be sufficient enough to wake up
an engineer.
Although this system is reasonably effective given its simplicity, the Alerter does not account for whether the
engineer is truly mentally engaged, MEFA will fill this gap. This technical approach to Alerter systems in
locomotives has not been taken previously, and if MEFA is successfully developed and deployed, should drastically
reduce the rail accident rate due to fatigue.

No one else is researching this approach to fatigue and locomotive Alerter systems
The issue of fatigue monitoring and alertness in vehicle operations has been broadly researched, across modes.
FRA defined and demonstrated fatigue and its degrading effects on human performance in simulators. FRA studies
have documented fatigue-related degradation of performance in locomotive crews, dispatcher operations, and
maintenance of way workers.

Fatigue is a degrading effect on human performance, thereby producing operational errors leading to
accidents. The objective of this research is to develop a prototype passive monitoring system to detect a fatigued or
asleep operator and take action. It is a fail-safe device intended to be more reliable than the existing Alerter
system. Research activities include:
Activities:
• Selection of sensors for behavioral monitoring
• Development of software algorithms that provide the “intelligent” or decisional interface
• Integrating and testing the system with locomotive crew in FRA’s Cab Technology Integration Laboratory
(CTIL)
• Successful demonstration of the prototype in CTIL would lead to integration and testing in an actual
locomotive. Actual locomotive testing is not arranged or funded at this time.

This research aligns with the transportation “safety” strategic goal and is part of FRA’s automation and fatigue
research project areas. Both research areas that are a high priority for DOT.

The expected total cost if all phases are executed over an approximate 2-year period of performance is $394,618.
Expected funding for FY 2019 is $179,580 for Phase 2 of 3 phases.

Non-federal contribution from the Aurora-MIT team is “at least $25,000” according to the cost proposal from
Aurora Flight Sciences’ and partner the MIT Man-Vehicle Laboratory (MVL).
B. Augmented Reality Head-Up Display (HUD) FY 2019 2nd task $ $500,000
Two behaviors are prominently related causal or contributing to major train accidents: locomotive crew
distraction and loss of situational awareness. FRA is conducting research on an innovative approach to providing
vehicle and environmental information to the crew where visual focus is maintained outside the locomotive cab.

This study will determine the relative utility of three different types of display in representative operational
situations:
• A traditional wide field-of-view HUD
• A novel form of HUD with augmented reality features (containing symbolic representation of visual cues in the
environment)
• Existing head-down operating display
This HUD provides information on the environment overplayed on the HUD. Train drivers operate by vision,
focusing on all the visual cues on the track and in the environment. This study will address distraction and
situational awareness challenges.
FRA has completed preliminary work in HUD to determine if RD&T could create a HUD in the simulator
environment for further testing and research. The work effort has been divided into three major tasks to be
completed over a period of 2 years which will lead to the design, development, and empirical evaluation of a
prototype HUD in FRA’s CTIL simulator. During FY 2019, Task 1 will be funded. Task 1 consists of the display
design and feasibility assessment whereby there will be a HUD literature review, task modeling, iterative design
modifications and a technical feasibility study of conformal (view adjusting) display technology.

This project aligns to DOT Strategic Goals Safety and Innovation.

The expected total project cost is $1M as proposed in the BAA response. AAR has significant interest and support in
the application in HUD technology (in writing). The Brotherhood of Locomotive Engineers and Trainmen (BLET)
and International Association of Sheet Metal, Air, Rail, and Transportation Workers (SMART) support research on
HUDs (in writing).

This project does not include non-Federal funding.
BAA with MIT-GE Global Research
High Priority Completed Projects in FY 2017 or FY2018

Completed Priority Research Project 1: Autonomous Track Geometry Measurement System (ATGMS)
Objectives and activities

Autonomous Track Geometry Measurement System (ATGMS) technology was developed to enable high quality
track geometry data collection without the need for traditional manned geometry railcars. The technology
leverages advancement in sensor and communications technology to create a fully autonomous data collection
system that transmits safety critical data directly to decision makers. The outcomes of this project include:
• Eliminated the need for direct human supervision of geometry data collection,
• Reduced life cycle costs of geometry measurement operations,
• Reduced interference with revenue operations,
• Increased inspection frequencies and productivity,
• High quality data, available remotely.

ATGMS aligns with the DOT Strategic Goals of Safety, by improving field inspection capabilities and knowledge of
track geometry information, and Innovation by leveraging advancements in senor, power control, and
communications technologies to produce a fully autonomous inspection system.
What was learned?

The ATGMS project has demonstrated that significant operational and efficiency improvements can be realized
through focused application of advanced, commercially available technologies. This project has transformed the
way in which the railroad industry collects track geometry data.
What were the research outputs/outcomes?

Physical outputs of the program include ATGMS installed on the DOTX225 and DOTX226 boxcars (each FRA-owned
rail car has a car number designation that begins with DOTX). These ATGMS-equipped rail boxcars are currently
used by FRA RRS as part of its mission to ensure rail safety. FRA RD&T developed ATGMS technology is
experiencing wide-spread commercialization and may soon become the rail industry’s predominant method to
collect track geometry data. FRA’s contractor has built/sold ATGMS’s, based on the FRA design, to Metro North
Railroad and several Class I railroads including: CSX, Norfolk Southern, and Union Pacific.
Does further research need to be done? If yes, for what purpose?

No significant additional research is planned at this time.
Will non-Federal stakeholders contribute to further research? If yes, how much?

This is not applicable.
What was the total cost?

The total cost of the project was approximately $5,000,000.
Were non-Federal dollars leveraged? If so, how much?

Non-Federal dollars were leveraged as part of this development project. There is not an accounting of all the non-
Federal dollars that supported the development of the ATGMS technology. Many railroads contributed towards the
success of this project. Railroads provided access to vehicles and equipment for system development and
installation, testing support through complementary train moves, invaluable technical feedback on system design
and data products. In addition, the FRA contractor commercialized, at their own expense, the FRA prototype into a
viable product. The research project was recently completed and the final report is currently in the initial stages of
FRA review.
Completed Priority Research Project 2: Fiber Optic Broken Rail Detection
Objectives and Activities

The objective of this project was to evaluate the performance of a fiber optic-based broken rail detection system.
The goal was to research and investigate the potential for a fiber optic-based system to replace the functionality of
a track circuit.
Real-world tests were conducted on revenue-like trains at the TTC. The tests were conducted throughout several
phases, to extract cumulative results and create expectations for revenue service railroads. The fiber optic
Distributed Acoustic Sensing (DAS) broken rail detection evaluation was conducted in three phases. In the first
phase, vendors set up and calibrated their systems at the TTC, which consisted of configuring the fiber optic test
bed, installing and integrating the DAS broken rail detection systems with the test bed, and calibrating the systems
once integrated. The second phase consisted of data gathering and analysis during normal operations at the TTC
Facility for Advanced Service Testing (FAST). The third phase involved data gathering and analysis from additional
testing at varying train speeds.

This project aligned with DOT Strategic Goals of Safety by increasing the accuracy and timeliness of broken rail
detection, Innovation by automating system operations and performance, and Accountability reducing the
regulatory burden.
What was learned?

While fiber optic technology can perform some of the functions of track circuits to a limited degree, the technology
needs to improve significantly before fiber optic replacement of track circuits is a serious consideration. The
evaluation of the DAS systems shows that improvement is needed in both the rail break detection accuracy and the
reduction of false alarms, as well as improvement in performance at lower speeds.
What were the research outputs/outcomes?

A defined understanding of the limitations of fiber optics sensing technology. Analysis of the collected data
revealed that the technology is in its infancy and must be progressed to efficiently add to the capability of current
technologies such as track circuits. There are still a considerable number of undetected broken rails and
substantial false alarms that must be addressed prior to being considered a viable alternative to current
technology.
Does further research need to be done? If yes, for what purpose?

No, further research does not need to be done.
Will non-Federal stakeholders contribute to further research? If yes, how much?

There is a significant interest in the railroad community to expand this research. FRA, Transportation Technology
Corporation, Inc. (TTCI), and the Fiber Optic Acoustic Detection (FOAD) advisory group (AG) met with the vendors
at the AAR Annual Review to discuss the technology, progress, limitations and future development.
The FOAD AG has been active and will continue to review the progress and potential applications of this
technology. There is no additional fiber optic technology development or analysis scheduled for FRA funding at this
time. Certain North American railroads are currently engaged in further research, but the exact level of activity is
unclear.

What was the total cost?
$766,323
Were non-Federal dollars leveraged? If so, how much?

No non-Federal dollars were leveraged.

Section 1 – Program Descriptions, FY 2019
FY 2019 RD&T Program Funding Details

FY 2019 FY 2019 FY 2019 FY 2019 FY 2019
RD&T Program
Pres. Budget Basic Applied Development Technology
Name
($000) ($000) ($000) ($000) ($000)
Railroad Systems
$4,871* $4,050 $821
Issues
Track Research $9,179 $7,109 $2,070
Rolling Stock $10,322* $8,182 $2,140
Train Control &
$8,086 $6,306 $1,780
Communication
Human Factors $6,042* $4,780 $1,262
Totals $38,500 $30,427 $8,073
*Amounts include earmarks for Short Line Safety Institute ($2,500) in Human Factors, Safe Transportation of Energy
Products ($2,000) in Rolling Stock and Research with Universities on Intelligent Railroad Systems ($1,000) in Railroad
Systems Issues.
* *The total amount does not include $2,100 for facilities per instructions for the report. The total amount includes
earmarks. All carryover amounts are included in the Project Spend Plan.
FY 2019 RD&T Program Budget Request by DOT Strategic Goal

RD&T Program FY 2019 SAFETY INFRA- INNOVATION ACCOUNT-
Name Pres. Budget STRUCTURE ABILITY
($000) ($000) ($000) ($000) ($000)
Railroad Systems
$4,871* $4,871*
Issues
Track Research $9,179 $9,179
Rolling Stock $10,322* $10,322*
Train Control & $8,086 $8,086
Communication
Human Factors $6,042* $6,042*
Totals $38,500 $38,500
*Amounts include earmarks for Short Line Safety Institute ($2,500) in Human Factors, Safe Transportation of Energy
Products ($2,000) in Rolling Stock and Research with Universities on Intelligent Railroad Systems ($1,000) in Railroad
Systems Issues.
* *The total amount does not include $2,100 for facilities per instructions for the report. The total amount includes
earmarks. All carryover amounts are included in the Project Spend Plan.
Although all funding is listed under the Strategic Goal of Safety, funding for research addresses the other
Strategic Goals. For example, Grade Crossing research addresses not only Safety, but Infrastructure and
Innovation. Additionally, Automated Track Inspection Technology addresses Safety, Accountability and
Innovation.

Research, Development, and Technology
Funding Request $40,600,000
Program Description/Activities:
The Railroad Systems Issues (RSI) research program directs the entire Research, Development, and Technology
(RD&T) program towards the goals set forth by the Department of Transportation (DOT), the Office of the
Assistant Secretary for Research and Technology (OST-R), the Federal Railroad Administration (FRA), and the
Office of Railroad Policy and Development (RPD). The RSI research program defines the strategy to meet DOT’s,
OST-R’s, FRA’s, and RPD’s goals and, and assures these goals are met. The principal focus and goal of the RD&T
program is safety. FRA’s RD&T program yields solutions that contribute to all DOT goals to advance infrastructure,
innovation and accountability, while maintaining a safety focus.
Economic Impact of Regulatory Reform:
RD&T conducts research to improve railroad safety and provides data to support the activities of the Office of
Railroad Safety (RRS) including their regulatory reform efforts. Essentially, RD&T lays the foundation for
regulatory reform and promotes decisions that are data driven. Research conducted by FRA decreases the cost of
complying with regulations. For example, innovations in automation resulting from FRA research allow the
railroads to decrease the economic burden of inspection allowing the railroads to inspect more of the rail network
for a lower cost. This reduction in burden is realized by reduced labor hours and track time, reduced equipment
failure, or improved infrastructure, all resulting in fewer incidents. To maximize research resources, RD&T
collaborates with RRS to align and prioritize project selection to focus research in areas of high concern and impact
in support of regulatory reform.
RD&T conducts research that addresses the improvement of the Code of Federal Regulations (CFR) Title 49 Part
213 Track Safety Standards; Part 215 Railroad Freight Car Safety Standards; Part 225.12 Rail Equipment
Accident/Incident Reports alleging employee human factor as cause; Part 228 Hours of Service of Railroad Employees;
Appendix F Part 229 Recommended Practices for Design and Safety Analysis; Part 231 Railroad Safety Appliance
Standard; Part 232 Brake System Safety Standards for Freight and Other Non-Passenger Train and Equipment; End-
of-Train Devices; Part 234 Grade Crossing and Signal System Safety; Part 236 Subpart I Positive Train Control
Systems; Part 238 Passenger Equipment Safety Standards; Part 239 Passenger Train Emergency Preparedness; Part
270 System Safety Program; Part 924 Highway Safety Improvement Program; and Appendix E Part 236 Human
Machine Interface (HMI) Design.
In addition to addressing CFR 49, FRA established the Grade Crossing and Trespassing Task Force and a working
group that is currently drafting a notice of proposed rulemaking (NPRM)for Locomotive Recording Devices. FRA
working groups create forums where stakeholders across the industry address safety concerns. Working groups
allow FRA to gain direct industry input. Collaboration may lead to research projects or industry standards that
directly address the needs of the industry, including barriers to adoption and the cost of implementation for new
and emerging technology.
Economic Impact of Permitting Reform:
RD&T’s research does not address the economic impact of permitting reform.

Performance-Based Regulations and Safety:
RD&T research programs address performance-based regulations across multiple research areas.
The Track Research program focuses its efforts in developing the scientific basis for removing prescriptive-based
regulations and moving toward performance-based regulations. The Rolling Stock program staff are engaging
stakeholders across the industry to address performance-based regulations as they relate to research including
tank cars, hazardous materials, wheel failures, high-speed rail, and glazing systems to reduce fatalities. The Human
Factors research program is researching new performance-based regulations that may increase the sharing and
use of data. Each research program is working with RRS and other transportation modes to research best practices
and new approaches to improving safety.
Potential Impact of Asset Recycling:
Research activities include the acquisition of tank cars and tank car pieces resulting from derailments. These tank
cars and pieces are acquired from the railroads after an incident and moved to the TTC for further research and
analysis to determine the potential causes of the incident. At the completion of the research, tank cars and pieces
are sold as scrap materials.
Potential Impact of Value Capture:
RD&T’s research does not address value capture.
Improving the Mobility of Freight:
Each RD&T research program improves the mobility of freight on America’s railways. RD&T’s research efforts help
improve infrastructure and introduce innovations that contribute to improving the mobility of freight. Research by
the Track Research and Rolling Stock programs to prevent the derailment of trains significantly affect mobility.
Rolling Stock’s research on early detection of rail wheel defects reduces the risk of an accident caused by that type
of defect. Positive Train Control (PTC) research conducted by Train Control and Communication allows for the
faster delivery of people and goods by rail. Research on very long trains conducted by the Rolling Stock and Human
Factors research programs supports the economic competitiveness of railroads while maintaining safe operations,
improving the mobility of freight by identifying risks and developing strategies for mitigating those risks.
Feasibility of Micro-Transit:
RD&T’s research does not address micro-transit.
Improving Mobility for Underserved Communities:
RD&T structures research to address high priority problems wherever they may occur. Although RD&T programs
impact short lines and grade crossings, which have a higher concentration in rural areas, programs have not
historically been geographically focused. Autonomous inspection programs conducted by the Track Research
program included short lines to identify high risk derailment locations. PTC research is improving the safety of all
communities including rural and underserved communities. RD&T’s research will inform FRA of rural and
underserved area unique concerns and challenge which will aid project prioritization and planning to consider
these challenges in the future. The Research with Universities on Intelligent Railroad Systems project will provide

preference towards projects that implement technology in rural areas (see the Program/Activities section) to
improve the mobility of underserved communities.
Cybersecurity:
Train Control and Communication’s research includes cybersecurity. TTC’s cybersecurity focus is securing the
communication and ensuring authentication of sender and receiver of the PTC communication. Multiple PTC
research efforts address security which includes “cybersecurity.”
Federal Role/Continued Relevance:
Aligned with DOT OST-R research objectives, FRA research identifies and addresses safety issues across the
railroad industry, including high-risk, and long-term research. The sustained funding of FRA’s research and
development mission enables pursuit of safety specific research needs. This allows FRA to initially bear the costs
and risks for research that the railroad industry is unable to pursue. The results of which lead to innovative
solutions that may not otherwise materialize.
FRA’s program managers (PMs) use many tools to provide decision points for evaluating project progress and
relevance. Each vendor provides monthly/bi-monthly/quarterly progress reports that provide deliverables,
milestones, and research progress including research status and significant accomplishments. PM’s work with
vendors, industry stakeholders and subject matter experts throughout the research life cycle. This collaboration
and interaction provides a wealth of knowledge to assess the progress of research activities and facilitate the
technology transfer. Using this knowledge and that gained from program metrics and industry commitment, the
PM conducts assessments of research projects’ progress and their continued viability or relevance. FRA RD&T
formalizes research priorities and accounts for the assessments of PMs, industry commitment, administration
priorities and the Technology Readiness Level (TRL) of evolving technology to determine if the research warrants
continued support.
FRA’s extensive synergy with industry stakeholders and external research partners delivers accelerated
information sharing and technology transfer, to achieve safety goals. To guide FRA’s investments, RD&T sets forth
a research agenda defined by a clear set of priorities to investigate current and future safety issues.
The relevance of Government funding of R&D research is clear and substantial. Without this investment, significant
safety related research would not occur and the benefits would not be realized.
Consistent funding of R&D activities is essential to the progress of the railroad industry and its efforts to
modernize and improve safety. The cessation of R&D would have a devastating impact on railroad safety
operations and undetermined impact on the economy, infrastructure, and environment. Without investing in safety
research, RRS would lack contextual data or information to define safety requirements to address accidents and
trends. As technologies and systems evolve, technical standards need to adapt and R&D is required to understand
the safety implications of changes. Efficacy of technical standards are maintained by the scientific research of
RD&T staff in collaboration with RRS. The economic impact would exceed that of the people, small business,
universities, education supports and facilities directly involved with research activities, reaching those affected by
the absence of new technology and innovations.
Even though the private industry may invest in research, the results would not be freely transferred within the
industry, allowing companies to retain results for profit that could otherwise benefit the industry and the public.

Driven by private profits, innovation would lag, research would increase intellectual property rights, and the
private industry would only do the minimum to meet the safety technical standards set by government policy.
Impact of Additional Funding:
In the 2017 AMRP, RD&T planned to spend over $40M on research and activities to improve railroad safety in
FY18 and FY19. RD&T’s 2018 AMRP and President’s Budget reflected a reduction in funding translating to a
reduction of investment. RD&T reprioritized projects through stakeholder engagement and DOT research
priorities to meet the President’s Budget. The additional $21.1M requested in this update of the FY19 AMRP will
have the following impact on RD&T’s research program and railroad safety improvement.
• RD&T will be able to expedite research timelines, returning to original research scope and plans.
• RD&T will have funding to address more DOT and OST-R priorities, aligning research to OST-R’s research topic
areas.
• RD&T will have the capability to add additional projects to RD&T’s project list, investing in research needs
pushed to future fiscal years. As part of FRA’s new investments, RD&T will create a new partnership with
private industry and universities that includes an investment of $2M/year from FRA and nearly $900K from
AAR.
• The additional funding will also help RD&T better respond to RRS needs. RD&T has already committed to a
new partnership with RRS, Railroad Information Sharing Environment (RISE) to promote the sharing of data to
improve safety.
Statutory Requirements:
Railroad Research and Development is statutorily mandated in the budgets prepared by the President, House and
Senate of the U.S. RD&T’s research and outcomes are aligned directly to the statuary requirements. The Short Line
Safety Institute grant is managed by FRA’s Human Factor’s division to improve the safety culture of Class II and
Class III railroads. FRA has been working with the ASLRRA and the Short Line Safety Institute since funding was
provided for this investment. The Rolling Stock division manages Tank Car research to improve the safe transport
of energy/hazardous materials on America’s railroads. The Railroad Systems Issues division created a contracting
vehicle for administering and managing funding to universities on intelligent railroad systems. The Human Factors
and Train Control and Communication divisions conduct research in grade crossing (GX) and trespassing.
RD&T utilizes statutory requirements to establish investment priorities. Priorities described in the (Senate/House)
reports urge FRA to prioritize investments in the development of technologies designed to verify the functional
performance of complex electronic systems such as:
• PTC,
• Electronically controlled pneumatic (ECP) brakes,
• Automated train control,
• Passenger door control,
• Train communications,
• Train environmental control, and
• Railcar signs.
Investments throughout the five divisions explore solutions to each of these priority areas, with the exception of
ECP brakes, which, per Congress, is no longer a priority. All RD&T divisions address automation issues which aligns

with this recommendation. GX and trespassing are also a priority for RD&T as it is a priority for FRA RRS (their
statutory requirement is also included below). Each division’s section reviews activities and outcomes relative to
these statutory requirements.
RD&T is collaborating with FRA RRS which has a statutory requirement to identify and study the causal factors
that lead to trespassing incidents on railroad property and develop a national strategy to prevent trespasser
accidents, including milestones, timelines, and metrics to define success. The House and Senate Committees on
Appropriation directs FRA to submit the trespassing prevention strategy to the Committee no later than August 1,
2018. The Committee expects FRA to implement the national strategy to prevent trespasser accidents within the
recommended timelines.

Program Alignment with Strategic Goals:
RD&T strategically aligns its research with DOT, OST-R, FRA, and RPD goals and strategic plans, with a focus on
improving the safety of America’s railways. Many of RD&T’s research projects yield additional benefits in the areas
of innovation, infrastructure, and accountability. As the railroad industry evolves with emerging technology, FRA
has been a leader for decades, researching innovative solutions to improve the safety of moving goods and people
in America. All five divisions of RD&T conduct research in automation technology to help understand how to best
utilize new technologies and minimize the human error associated with automation. Projects conducted by the
Track Research, Train Control and Communication (TCC), and Rolling Stock divisions improve the infrastructure of
America’s railroads to improve safety. RD&T continues its research into the industry’s workforce development
efforts to support the infrastructure of America’s railroads. Project evaluations conducted by the Human Factors
division support RD&T’s goals of accountability and helped gain insight on how RD&T will mature its performance
measurement and evaluation efforts. RD&T works closely with FRA RRS to provide the basis for science-based
requirements, standards, and recommendations that have been tested in real-world environments with the help of
companies and organizations who will adopt and use the technology.
DOT Strategic Goal DOT RD&T Critical

Transportation Topic
Safety Promoting safety
RD&T projects focus on problems impacting all urban, suburban, and rural communities. FRA structures research
to address high priority problems wherever they may occur, responding to incidents that may take place during a
fiscal year, with a long-term vision on improving safety. Although RD&T programs impact short lines and grade
crossings which have a higher concentration in rural areas, programs have not historically been geographically
focused. RD&T will consider rural communities as part of program planning in the future. The Research with
Universities on Intelligent Railroad Systems project will provide preference towards projects that implement
technology in rural areas (see the Program/Activities section).
Program Objectives:
While rail safety has improved over the last 10 years with the downward trend of accidents, FRA is still focused on
improving the safety of railways for the American public and rail workers. RD&T’s main objective is to reduce
incidents and accidents involving America’s railroads, to save lives, and reduce environmental hazards. Some of the
problems FRA is solving include:
• Reduction of accidents caused by human error.
• Reducing track-related derailments.
• Reducing incidents and accidents related to grade crossing and trespassing.
• Investigating automation and technology
RD&T achieves its objective through continuous stakeholder engagement throughout a project’s research,
technology transfer, and acquisition life cycles. FRA’s RD&T program objective is to promote innovation and
facilitate leadership across the railroad industry in the exploration and use of technology and automation to
advance the railroad safety culture. Anticipating the increased impact of technology and automation on the
railroad industry for over a decade, RD&T’s objective has been to better understand the benefits and impacts of
technology on safety and workforce development. RD&T has prioritized research in technology, like PTC systems
and issues, to provide needed solutions to the technology’s development, implementation and integration issues.
RD&T addresses market failure by pursuing solutions to safety problems and striving to decrease the number of
incidents and accidents, save lives and reduce property damage. Working with internal stakeholders like FRA’s
RRS, RD&T is able to react quickly to industry needs and address safety issues as they evolve.
Research Collaboration Partners:
RD&T utilizes stakeholder input to establish research needs and priorities. PMs are members of industry
organizations and regularly engage stakeholders at meetings throughout the year to remain current on the issues
and needs of the railroad industry. RD&T research collaboration partners include the railroads, labor,
manufactures/suppliers, universities, non-profits, private industry, city/State/Federal government DOTs, and DOT
Operating Administrations (OAs). Each RD&T research program will detail some of their partners. RD&T is
considering tracking stakeholder input.
Partner Detail
Partner Name Contribution Benefit of Partnership

Universities across the United Expertise and research Subject matter expertise and workforce
States development
American Public Transportation In-kind contribution; subject matter
Provide data on noise emissions design features
Association expertise, data
In-kind contribution; subject matter Provide locomotive engine, duty cycle data;
Class I Railroads
expertise support testing activities
American universities Subject matter expertise Subject matter expertise
Railroads Access to rail facilities Subject matter expertise
ASLRRA Subject matter expertise Subject matter expertise
Benefits Detail
Beneficiary Benefit(s) Received

FRA RRS Improved safety standards/recommendations
Improved science to improve standards and requirements in support of EPA’s revisions to
noise emissions limit for trains
Rail industry Improved safety standards/recommendations
Lower operating costs
Improved visibility for railroad workers and grade crossings
Reduced railroad accidents and fatalities
Reduced regulations
Small businesses, and Improved railroad research resources and capabilities.
University research centers
Class I Railroads Standardized matrix to determine most efficient technology for improved energy and
efficiency of locomotive engines
Acquisition/Assistance:
RD&T begins its acquisition process by engaging internal and external stakeholders to understand industry
concerns, priorities, needs, and safety issues. RD&T establishes research priorities and defines its acquisition plan

considering internal and external priorities, and aligning priorities with DOT, FRA, and RPD goals for the upcoming
fiscal year. RD&T utilizes a competitive procurement process across all the divisions.
RD&T works with the FRA Office of Acquisitions to initiate various funding vehicles across the department,
including:
• Broad Agency Announcement (BAA)

• Indefinite Delivery/Indefinite Quantity (IDIQ)
• Full and open competition
• Sole Source
• Inter-Agency Agreement (IAA)
• Small Business Innovative Research Program (SBIR)
All RD&T divisions use a non-competitive (sole source) acquisition approach to conduct multi-phase research
projects and for research that requires special expertise. In these cases, it is advantageous to the government’s
return on investment (i.e., no additional cost for educating and bringing a new contractor up to speed on the
development already done). Sole source agreements are also used to increase partnerships with small businesses
and universities. Sole source agreements are justified on a case by case basis. IAAs are established with the Volpe
National Transportation Systems Center (Volpe Center) because of its technical expertise and existing
relationships within the rail industry. The Volpe Center provides specialized support to RD&T’s divisions. Work
products produced by the Volpe Center are respected and adopted by the rail industry.
RD&T divisions fund research using an incremental approach to accommodate limited funding and limited
availability of resources. Divisions utilize both single year and multi-year contracts and grants for projects.
Research that is limited in scope or undertaken to answer questions related to a well-defined technical issue is
often limited to one year or less. Multi-year acquisitions are used to provide incremental funding for research
projects, especially when developing new technologies, and to allow for decision-making and potential redirection,
as necessary, as the research progresses. As part of RD&T’s decision-making process, PMs assess the viability of
research and determine if research should continue at various stages of the research and development life cycle.
RD&T divisions benefit from in-kind contributions (e.g., subject matter expertise, track time, data sharing, and
equipment) from their collaboration partners. These contributions are not only desirable for their inherent value
but also guide researchers to develop practical technology that will function well in practice. Some divisions
benefit from partners providing non-federal funding; however, this is not a requirement for RD&T research.
Examples of RD&T’s non-federal funding can be found in the following sections detailing the research program of
each division.
Technology Transfer (T2):
Partnerships and stakeholder engagement form the foundation of RD&T’s technology transfer (RDT2)
methodology. Each division works closely with stakeholders throughout the R&D life cycle and the T2 life cycle to
increase user adoption of research products/services. Over the past decade, RD&T has not seen an increase in
budgetary dollars, requiring the divisions to begin working on user adoption prior to the start of research efforts.
Each division works with stakeholders to understand adopter (industry and stakeholder) needs and barriers to
adoption. RD&T PMs work internally and externally to identify and address barriers to adoption. A major
mitigation strategy used by FRA is to create partnerships across the industry to increase the likelihood of adoption.
RD&T PMs are the subject matter experts (SMEs) in their areas of research. As the SMEs in their area, each PM
works with stakeholders (internal and external) in the industry to understand and develop new technology. RD&T
PMs and their research partners work early in the research process to begin communicating the value and benefit
of RD&Ts research products.
Most research conducted by RD&T is Technology Readiness Level (TRL) 1–5. TRL is a measure of the maturity of
research. It helps FRA RD&T track progress from basic research (Levels 1–3) to applied research (Level 4–5),
development (Level 6–8), and eventual implementation (Level 9). 1 These early levels (1–5) are the foundation for
creating technology that is eventually adopted by the industry, showing evolution from modeling and proof of
concept to prototype creation and testing in a lab or, sometimes, a real-world environment. RD&T determines
expected TRL during acquisition planning and project prioritization based on stakeholder (internal and external)
input, risk strategy and budgetary limits. RD&T’s acquisition plan establishes resourcing and timelines for each
project. Starting in FY19, RD&T will formalize its T2 methodology by piloting technology transfer plans throughout
the divisions. RD&T will create program level T2 plans for each division. Plans will consider all program areas and
include:
• Business Case
• Operational Need
• TRL Assessment
• Resource Strategy
• Risk Assessment
• Communications/Stakeholder Engagement Strategy
• Integration Strategy
As T2 plans are implemented, the identification of specific transfer activities will be performed throughout the
research project life cycle. Stakeholder engagement is critical at all stages of research to ensure industry
involvement, to maximize all resource streams and enhance wide adoption of new technologies.
Activities to directly support technology development and implementation (Technology Readiness) are integrated
with the research project life cycle with a continuum of planning, engaging stakeholders, identifying resources and
executing research activities. Consequently, performance of T2 activities occurs throughout the research life cycle
and can be measured through the level of stakeholder engagement, commitment and adoption. Therefore, many
research and project management activities can be, at least in part, attributable to T2 maturity efforts.
RD&T T2 related spend plans will be approximately $576K in FY19. T2 implementation costs include:
• Stakeholder Engagement
• Industry Conferences, Meetings, Presentations/Demonstrations
• Workshops, Committees and Summits
• Right-of-Way Fatality & Trespass Prevention Workshop
• Grade Crossing Workshop
• Communications
• Support for publications and reports
Generally, RD&T’s stakeholders are the railroad carriers, the labor unions, the railroad manufacturers, universities,
FRA RRS, Federal Transit Administration (FTA), Pipeline and Hazardous Material Safety Administration (PHMSA),
1https://www.transportation.gov/sites/dot.gov/files/docs/research-and-
technology/283896/novelsurfacetransportationmodes-web.pdf
Federal Highway Administration (FHWA), and the American public (each research program will address these
categories specifically). These stakeholder groups benefit from RD&T’s research through information sharing and
transparency; development and testing of innovative technology; workforce development; safety
recommendations; improved safety culture; safety tools; improved infrastructure; safety training; research risk
mitigation; exploration of automation and the impact of automation on transportation; and safer transportation of
goods and passengers throughout America’s railroads. The beneficiaries of RD&T’s research are the internal and
external stakeholders especially the American public. RD&T’s main goal is to prevent incidents and accidents on
America’s railways to prevent injury, loss of life and property damage.
Internal stakeholders, like RRS, provide safety data to RD&T leveraged for research and utilize RD&T research to
support safety standards and requirements. RRS’ use of RD&T research has improved the safety of American
railways and decreased fatalities over the last 10-years. External stakeholders (e.g., railroads and labor unions)
provide insights, trends, data used to begin and prioritize research. These same stakeholders participate in
research either by providing expertise or equipment, providing feedback during research projects or as
participants for research studies. Internal and external stakeholders consume RD&T research, implementing
training, standards, or adopting RD&T equipment. A good example of the success of RD&T’s technology transfer
efforts is the success of the research with ATGMS. Numerous ATGMS systems have been built, or are under
construction. FRA expects that ATGMS will soon become the rail industry’s predominant method to collect track
geometry data.
Most of RD&T’s research projects include the production of Technical Reports and Research Results which are
published on FRA’s eLibrary at the conclusion of research, making the work accessible to the railroad industry’s
stakeholders and the American public. Some RD&T contracts include funding for vendors to present RD&T
research at industry meetings with FRA permission. Information regarding RD&T’s work can also be found on OST-
R’s Research Hub. RD&T will begin to publish research to the National Transportation Library (NTL) as part of its
publishing process in FY19 to ensure material is widely available and searchable to increase the dissemination of
FRA’s reports. In an effort to increase production of tangible research outputs, FRA restructured its technical
report review process in 2017 to decrease the time it takes to publish research material. FRA PMs begin to share
research accomplishments and findings with stakeholders during the R&D life cycle during industry meetings so
that the industry can benefit immediately from information and lessons learned.
In 2017, RD&T’s produced two new products 2, filed two patents 3, worked with 16 small business and over 117
collaboration partners, published 29 Technical Reports/Research Results, and conducted 117 in-person webinars
or presentations. In 2018, RD&T plans to increase the production of research outputs through its improved
publishing process.
FRA RD&T has developed a Research Portfolio Information Action Plan to conduct an annual review and update of
the FRA DOT Research Hub and US DOT Repository and Open Science Access Portal (ROSA-P) databases. This
annual review is required by OST to maintain up-to-date content in the FRA USDOT Research Hub and ROSA-P
databases. The Action Plan includes a step-by-step process that aligns with OST Annual Review Cycle (pending OST
approval the annual process is subject to change to quarterly, tentatively effective 2nd Quarter FY19).
2 Helping Train Engineers Think Ahead: Methods of Providing Situational Awareness (GE) and Simulator of Human Operator
Workload (SHOW) (Duke University).
3 A Method for Detection of Rail Breaks on Occupied Blocks to Support Reduced Train Spacing (TTCI – AAR) and Flexible
Operator Location System (TTCI – AAR).

Monitoring and conducting the Research Hub updates will be the responsibility of the RD&T Program Office point
of contact, with support from Director, Division Chiefs, and Program Managers.
US DOT Research Hub - The following data fields, as defined by the Research Hub data dictionary, need to be
reviewed and updated: Project Title, short Description of the Project, program through which it is funded,
Contract/Grant number (or other funding agreement identifier), Status:(active or completed), period of
performance (POP) Start Date, POP End Date, amount of funding allocated to the project, and vendor (performing
organization).
The FRA DOT Research Hub annual update process steps include:
Steps Process
Steps 1-2 OST Database Administrator submits the US DOT Research Hub data export Excel
spreadsheet to the RD&T Program Office POC.
Step 3 The Program Office POC sends an email communication to the Division Chiefs and
PMs, with instructions and timeline to complete the review.
Step 4 Division Chiefs and PMs conduct a review, provide updates and corrections in the
SharePoint collaboration tool within 90 days. (Please note the first time will be a
one-time clean-up effort, future updates will have a shorter turn-around time)
Step 5 Division Chiefs and PMs will confirm completion of review and provide updates to
RD&T Program Office POC.
Step 6 RD&T Program Office POC will send the updated Excel spreadsheet to OST
Database Administrator. The OST Database Administrator will upload updates to
the FRA DOT Research Hub.
Data Collection Criteria: Baseline date parameter includes all projects that are either Active/Closed from 2014–
2020. (Approved by OST Research HUB Database Administrator).
US DOT Repository and Open Science Access Portal (ROSA-P) – The data fields to be reviewed and updated include:
Ongoing and continuous updates to the ROSA-P include: updates to reports, research results and summary
descriptions of project outputs and outcomes/impacts.
The ongoing ROSA-P update process steps include:
Steps Process
RD&T Division Chiefs and Program Managers send the Technical Editor the final
Step 1
deliverable reports, research results and summary descriptions of project outputs.
RD&T Technical Editor prepares the reports and research results then sends email
Step 2 notifications with the URL for publication to the FRA Web Team. (Frequency is
weekly or monthly.)
The FRA Web Team receives an email from the Technical Editor. The Web Team
Step 3
generates the publication notification.

RDT Technical Editor sends email communication with the URL for publication to
the following:
• Division Chief
• Program Manager
• RD&T Director
Step 4 • Strategic Communications
• Public Affairs
• National Transportation Library
• Transportation Research Board
• US DOT Repository and Open Science Access Portal (ROSA-P)
RD&T is establishing a baseline for measuring the performance of its T2 activities in FY18. RD&T published 110
publications between October 1, 2015, and March 30, 2018. Using this timeframe as a baseline, RD&T will establish
the following:
eLibrary Metrics
• Total Traffic to eLibrary FY18
• Total Traffic to RD&T Research FY18
• Total Traffic to Special Project Areas
• Traffic by Region/Classification
Utilizing this information as a baseline, RD&T is establishing following goals to measure the effectiveness of T2 in
FY19 and FY20:
• Increase Traffic to eLibrary
• Increase Access to RD&T Research
• Increase Traffic to Special Project Areas
• Access to Research Hub
• Access to NTL
• Conduct In-Person/Webinar Presentations
• Traffic by Region/Classification
Evaluation/Performance Measurement:
RD&T established two vehicles for evaluating project performance and to assess the manner and extent to which
programs achieved their intended objectives. In compliance with the Government Performance and Results Act
(GPRA) and the GPRA Modernization Act of 2010, the RD&T program performs project evaluations specifically
designed to:
• Guide and strengthen RD&T’s program execution.
• Facilitate the collection of feedback to improve project performance.
• Assess achievement of target audience needs.
• Assess and drive the transfer of technology to the private sector.
RD&T’s external project evaluation “program” determines the effectiveness of research programs and their
intended impact. The results inform project performance improvements and increase the Return on Investment
(ROI) on funding. Initially, RD&T required each division to conduct a pilot project evaluation, with the intent to

improve FRA’s ability to assess the impact on improving rail safety resulting from RD&T research projects. Each
division selected projects for external evaluation and RD&T conducted both formative (proactive) and summative
(retroactive) evaluations comprised of four evaluation categories (context, input, impact and implementation).
In 2015, RD&T sponsored an external evaluation conducted by the Transportation Research Board (TRB) titled
“Transportation Research Board Special Report 316 Evaluation of the Federal Railroad Administration Research
and Development Program.” The evaluation encompassed each research division, focusing on research projects,
communication, stakeholder engagement, strategic planning, and priority setting and evaluation. FRA used the
evaluation to address each TRB recommended area for improvement. RD&T plans to support another TRB
evaluation (FY 2020) and will concurrently implement internal processes to improve FRA’s accountability to the
American public.
To improve the effectiveness of performance management, RD&T conducted project evaluation training for each
division in 2018. The training provided a basic evaluation skillset for each RD&T PM. As part of the evaluation
program, RD&T tracks project data and leverages information to make data driven decisions. RD&T remains
committed to using performance measurements to improve research and development throughout the life cycle
process, with the goal of standardized performance measurement across the organization.
An effective performance management approach promotes the use of information learned through evaluations to
inform and influence project planning, strategy, technology transfer, and stakeholder engagement. As best
practices for measuring performance are deployed throughout RD&T (FY 2019–FY 2020), a full range of projects
will be systematically evaluated. Technical evaluation support will implement an evaluation framework, standards,
procedures, and templates as identified in the “FRA Evaluation Implementation Plan” and the “FRA Manual for
Research, Development and Technology (RD&T) Program and Project Evaluation.” As the performance
measurement framework and methodology is developed, RD&T will implement the following tools and techniques:
• A framework based on DOT’s, OST-R’s, FRA’s and RPD strategic goals and objectives for categorizing research
into tiers so that appropriate measurement and evaluation methodology can be used to provide the right
information at the right time for the right purpose.
• A workflow map of the research life cycle used in RD&T with a corresponding set of evaluative questions and
performance measures that will be used for each phase to demonstrate progress, efficiency and effectiveness.
• A balanced set of performance measures with definitions and data collection plans.
• An established baseline for data measures.
• A guide that provides an understanding of the basic evaluation questions and key metrics to use throughout
the research process.
• The handbook that includes two types of tools sample templates and descriptions of methods for assessing
research impact.
• An applied project, whereby the information from the Quick Reference Guide and Handbook will be used on a
specific project.
Starting in FY19, FRA will measure performance for the DOT Strategic Goal Innovation.
Development of Innovation
• Increase Dissemination of DOT-Funded Research Reports (OST)
• Increase Production of Tangible DOT-Funded Research Outputs (OST)
• Increase DOT Technology Transfer Activity (OST)

Deployment of Innovation
• Increase Tangible Production of DOT-Funded Research (OST)
RD&T began tracking data with FRA’s OST-R Technology Transfer Report 2017. As discussed in the T2 section,
RD&T will establish baseline metrics using data from FY18 to track performance against the Innovation
performance goals. RD&T will track page views and downloads of published materials in addition to the following
data to measure progress:
• Collaborative relationships
• Technical publications made available to public
• In-person or webinar presentations delivered to foster technology transfer
• Technical publication downloads – NTL
• Workshops or demonstrations to foster technology transfer
• Total number of small businesses supported
• Number of new inventions disclosed
• Number of patent applications filed
RD&T has commissioned the development of a project evaluation program, scheduled to be rolled out next quarter,
that will implement the processes, tools and training to support the evaluation of program performance as an
integral part of managing research projects. The program will include guidance to facilitate the development of
performance metrics to include how they are collected and analyzed. The performance metrics will be used to
evaluate research programs. This will include both research and development metrics and those more specific to
T2 activities and progress.
An initial analysis of evaluation guidance and tools has been conducted and will be used as a foundation for
developing and implementing the RD&T evaluation process. Next steps include finalization of the process steps,
development of tools, guides and templates. Training and coaching will also be provided to help develop essential
skills to ensure program success.
Designating Performance Metrics:

R&D Metrics – Division Chiefs and PMs lead the effort to define measures of R&D success for each project (e.g.,
Cost, ROI, Timing, Relevance, and Results). These metrics include measures specific to the research being
conducted in addition to the traditional project related metrics. Targets and milestones are established and are an
integral part of managing the research project.
T2 Metrics – PMs and stakeholders define measures reflecting technology readiness and industry adoption (e.g.,
Stakeholder participation, commitment, contribution, adoption levels). Based on the current readiness level and
the anticipated objectives of the research project, targets and measures are established to monitor the progress of
the research and the impact on the readiness of the technology for commercial adoption.
Evaluating Program Effectiveness:

Activities - Research project leaders will collect, analyze and report RD&T and T2 measures as part of their project
management plans. Evaluations will occur by design and reports of effectiveness and benefits will be established
for each program/project. The RD&T evaluation program will provide the means to systematically assess
effectiveness against the established measures and objectives to determine course corrections or continued
program support.
Resources – The Project Evaluation Program is currently under development to provide RD&T the training, guides,
and tools to conduct evaluation as an integral part of project management of research projects. Project Evaluation
processes will incorporate defining of T2 activities and associated costs. Data analysis will inform future projects
and approaches as well as measuring the effectiveness of the program. External evaluation of research programs
and the evaluation process will also continue as previously evidenced by the TRB report.

Railroad Systems Issues
The principal focus and goal of the RSI program is safety; however, the program’s activities contribute to all DOT
goals to advance infrastructure, innovation and accountability, while maintaining a safety focus. The RSI research
program develops, facilitates, manages and supports the following areas: RD&T’s research strategy; safety risk
analysis; performance-based regulations; non-regulatory recommendations; railroad environmental issues;
locomotive efficiency; project evaluation; Transportation Research Board’s (TRB’s) independent evaluation
recommendations; workforce development; RD&T related technology transfer and travel; operations,
maintenance, and equipment at the Transportation Technology Center (TTC) facilities in Pueblo, CO; and
contractor support.
The RSI research program activities are tailored to address relevant railroad issues spanning the spectrum from
safety to workforce development. RD&T collaborates with academia, the private sector and rail industry, in
addition to working with other DOT modes and federal agencies. Activities include:
Rail Safety Innovations Deserving Exploratory Analysis (IDEA) $400,000

The TRB initiated this effort in conjunction with FRA to address safety needs within the railroad industry. The
focus of this project is to solicit new innovation and technology in rail. The Rail Safety IDEA committee members
meet once a year (usually in December) and discuss all submitted proposals (about 15–18 are received annually)
to select the most promising two to three proposals to be funded.
The Rail Safety IDEA program is sole sourced to the TRB, which has been successfully conducting the program
since 2001. TRB is the only entity with the capability of carrying out this program because it is an independent
non-profit entity that has no affiliation with railroad providers, manufacturers, or suppliers. It also has no
affiliation with the universities and small companies (usual candidates for winning IDEA projects). This makes TRB
a unique organization for being fully independent, with no bias on behalf of any organization.
Anticipated Activities:
• Monitor existing projects.
• Review and select new projects.
• Collaborate with the TRB committee.
• Fund and launch new research.
Expected Outcomes:
With multiple activities each year, the outcomes vary based on the selected projects and duration of research. In
2018, the focus is on:
• Improve the railroad’s ability to detect broken rails.
• Develop better technology for railroad bridge inspections and improved bridge safety.
• Improve rail welds, thus minimizing broken rail and its related derailments.
Project Selection $95,065

RD&T prioritizes its research investments annually. This process utilizes a software package (DecisionLens
Software) as part of this effort. This project includes the activities and costs associated to maintaining the license
for the prioritization software and executing the prioritization process. RD&T conducts prioritization activities to
effectively manage its budget and ensure that stakeholder and industry needs are included in the investment
planning process. DOT priorities and safety priorities, especially those provided by the FRA RRS, are a major input
into the process.
As part of technology transfer efforts, RD&T staff engages with both internal and external stakeholders throughout
the research and development life cycle. An integral part of engagement includes collaborating with stakeholders
to understand research needs and safety issues that require additional data, information, and solutions.
Stakeholder research needs become an input into RD&T’s prioritization process to increase industry adoption by
meeting the industry’s safety needs and addressing current and future safety problems. Throughout the research
and development life cycle, RD&T staff evaluates the progress and usefulness of the research data and products in
collaboration with research partners and other stakeholders. RD&T considers research progress and TRL as an
input into their prioritization process.
RD&T developed the Safety Risk Model (SRM) to analyze safety risk across the railroad system. The model uses
data from FRA’s Rail Accident/Incident Reporting System (RAIRS) to calculate the likelihood of accidents occurring
by the consequences when they occur. The SRM provides RD&T insight into where research investment may have
influence on improving safety. The SRM is an input to the prioritization process.
Prioritization of research is accomplished using DecisionLens Software which includes the following inputs:
• Research Needs – Stakeholder research needs/requests, industry problems and safety trends.
• Selection Criteria – RD&T establishes selection criteria which could vary year to year. Criteria includes TRL,
DOT and FRA strategic alignment and risk.
• Weights – In collaboration with stakeholders, RD&T staff develops weighting for project prioritization each
year, especially input from RRS.
During FY 2018 the DecisionLens model was significantly modified and is currently under review, test and
assessment to determine if the prioritization tool will more accurately represent FRA R&D requirements and
better aligned with DOT Strategic Goals.
• Update the safety risk model to guide the RD&T project safety risk decisions and improve efficiency in project
spending.
• Update the portfolio prioritization methodology.
• Prioritize RD&T’s research portfolio.
Expected Outcomes:
• Optimize the prioritization methodology/process.
• Prioritize investments.
Program Support $981,321

This project provides technical editing, analyst and management support to RSI. FRA research produces various
deliverables as part of RD&T T2 process and FRA works with technical editors to publish this content. Program
management/analyst/subject matter experts provide project, program and portfolio management support.
• Review papers, reports, results and other material.

• Edit papers, reports, results and other material.
• Program, project and portfolio management support.
Expected Outcomes:
• Edited and published RD&T material.
• Strategic planning, tracking, and management of RD&T’s portfolio, information and data.
Project Evaluation $72,500

The focus of this project is to educate and train PMs about project evaluation techniques, develop performance
measures, improve project progress, and reduce cost. PMs and external parties will evaluate projects conducted by
the five RD&T divisions to measure success, improve project performance and railroad safety.
• Continue project evaluation training.
• Create project evaluation tools.
• Continue implementation of RD&T’s project evaluation methodology.
• Conduct project evaluations.
• Optimize RD&T’s performance management metrics.
Expected Outcomes:
• Increase maturity of project evaluation practices.
• Standardize performance measurement.
• Standardize project evaluation.
• Establish performance measurement baseline.
Transportation Technology Center (TTC) $200,000

The primary objectives of this funding are to maintain the one of a kind infrastructure at the TTC to accommodate
the testing and evaluation of intelligent railroad systems technologies and to provide FRA with the type and quality
of facilities and equipment needed to meet its missions in safety, infrastructure, innovation, and accountability.
Focused on enhancing railroad safety, the TTC drives national research, development and application of new
technology for railways, suppliers, governments, and others involved in rail transportation. Other government
agencies utilize the TTC:
• Since 1985, the Security and Emergency Response Training Center at the TTC has been training first
responders to handle hazardous materials accidents.
• The Transportation Security Administration (TSA) has created the Surface Technology Security Training
Center located at the TTC, providing training to Department of Homeland Security (DHS) inspectors and other
federal, state and local security partners.
• DHS has been an active user of the facility. DHS is conducting the assessment of Threat Risk for Rail Car Blast
Scenarios project and numerous railroad operations and safety training. DHS is also pursuing development of
the underground rail station and tunnel security training facility.
• The Federal Transit Administration and the Department of Defense are also involved in utilizing the facility.
RSI provides project evaluation funding to RD&T projects including the TTC. Every year, the TTC conducts an
evaluation and assessment of equipment and facilities. The TTC has a variety of track conditions, types of
construction, and test bed configurations to test a large variety of track equipment, vehicles, operating conditions
and material types. Engineering services are needed to visually inspect and make an evaluation of track condition
with respect to designated class of track, including components (i.e., ties (wood/concrete), rail fasteners, rail, rail

joints, ballast, subgrade, switches, signals, crossings, special track work, etc.,) referred to herein after as the
“railroad system”, interview TTCI personnel associated with track maintenance and conditions of the TTC track
infrastructure for historical and background information, and review construction drawings for age, alignment,
and detail for use in determining quantity, current value, replacement value, capital investments and repair needs.
• Detailed in Track Research’s section.
Expected Outcomes:
• Detailed in Track Research’s section.
Railroad Systems Issues $598,344

This project conducts research focused on safety with secondary strategic alignment to innovation, infrastructure
and accountability in the railroad industry.
• Continued documentation of HSR Design Guidance Manual to accommodate varying train types and
operational conditions.
Expected Outcomes:
• Basic aerodynamic concepts.
• Aerodynamic impact criteria.
• Aerodynamic evaluations.
• Documentation methodology.
Workforce Development (WFD) $155,000

This research provides support and domain expertise in the areas of railroad WFD to adequately identify suitable
approaches for both the management and capture of rail workforce-related trends, and respond to DOT data calls.
This research increases the awareness of railroad industry WFD issues by establishing and/or participating in
forums and research efforts to foster and support industry collaboration. As part of this effort, FRA has an interest
in the workforce development in the railroad industry and impacts of automation.
• Participate in the DOT Education and Workforce Development Community of Practice on behalf of FRA.
• Conduct and publish a railroad industry workforce assessment (known as the Modal Profile).
• Capture and analyze data on trends, skill gaps, skill demands, training opportunities, industry best practices,
and cross-modal efforts.
Expected Outcomes:
• Updated Modal Profile published.
• Research results of workforce development published.
• Continued stakeholder engagement.
Energy and Emissions $40,000

Investigate alternative energy and propulsion and emissions reduction technologies for rail equipment, improving
the transportation of goods and people. This research area focuses on supporting activities related to real-world

demonstration of alternative fuels, technologies that can reduce harmful exhaust gases, and improvement in
standards for noise emissions to ensure implementation of high speed rail across the nation.
Anticipated Activities
• Update the High-Speed Rail (HSR) Noise Standards and Regulations Research to include requirements from
FRA National Environmental Policy Act and HSR Noise Guidance documents and procedures.
Expected Outcomes
• Provide FRA RRS with improved science to drive standards and requirements development, and support
compliance in support of emissions limit for both passenger and freight equipment.
Locomotive Engine Efficiency Safety Research $100,000

The goal of this research is to investigate innovative locomotive engine technologies to ensure the safe and efficient
transportation of goods and people. Areas of focus for this research program include; reduction in fuel
consumption, improvement in engine component life, and improvement in the efficiency of older, less efficient
locomotives. Research is conducted in collaboration with Class I railroads to demonstrate and develop prototype
systems. This research area addresses the DOT Strategic Goal of Safety and Innovation and the DOT RD&T Critical
Transportation Topics of promoting safety, and preserving the environment.
If FRA does not participate in these initial technology assessment, FRA will not have the knowledge and expertise
to effectively work with the railroads to review and approve any submittal for safe use of such fuels. Even though
there are Federal standards for hydrogen transportation in rail, the unique characteristics of such fuel will require
comprehensive gathering of base knowledge to ensure the Federal standards are adequate for transportation in
fuel tenders. There is no precedence for safe transportation of this type of energy as a fuel or commodity because it
has not been done.
For additional details, please refer to the Locomotive Engine Efficiency OST-B Project Research Questionnaire.
• Assess technological innovation such as locomotive waste heat recovery systems using high-pressure heat
exchangers in a real-world environment.
• Development and prototype demonstration of hybrid systems such as battery technology, and heat exchangers
for improved efficiency.
Expected Outcomes:
• Knowledge of the performance of locomotive engine systems to improve efficiency while maintaining safety.
• Fostering relationships with the rail private sector.
• Ensure that emerging, innovative locomotive engine efficiency improvement technologies are safe.
Accessibility $260,000
Investigate universal and inclusive designs for accessibility onboard passenger trains. FRA is in a unique position
to collaborate with stakeholders (other Federal agencies, disability advocacy groups, passenger rail operators, and
equipment manufacturer and industry groups) to ensure that new standards for accessibility are feasible and safe;
balancing the requirements of the law with the capability of the equipment.

• Identify available technologies that can improve communication and travel experience for passengers with
disabilities.
• Investigate the impact of new requirements for accessible onboard passenger rail equipment, as related to
safety, usability and efficiency.
• Testing of wheeled mobility devices onboard passenger equipment including 49 CFR Parts 37 and 38 that
require a standard 30” x48” space for people using wheeled mobility devices.
Expected Outcomes
• Implementation of procurement specification standards for equipment.
• Understanding of the performance of wheeled mobility devices, occupant located in standard accessible seat
location, and various alternative designs and layout for improved accessibility.
• Investigate and develop innovative safety technologies that improve emergency preparedness features of
passenger rail equipment.
• Ensure that passenger rail onboard crewmembers are sufficiently trained to perform safety and life-saving
functions for passenger during emergencies.
Research with Universities on Intelligent Railroad Systems*$1,000,000

This project will utilize funding from FY17 Appropriation (H.R. 244-610) and FY18 (see Statutory Requirements
section) provided to RD&T to support university research on intelligent railroad systems. FRA will use a broad
agency announcement (BAA) to solicit basic and applied technology research projects that will support DOT and
FRA goals to advance automation and connected vehicle technology adoption in the rail industry. The BAA was
produced in collaboration with the Intelligent Transportation Systems – Joint Program Office (ITS-JPO). FRA will
review proposals with a preference for projects that advance these technologies for rural applications. Program
objectives within this project include:
• Enabling safer vehicles and roadways
• Enhancing mobility
• Limiting environmental impacts
• Promoting innovation
• Supporting transportation connectivity
*This funding has been provided by Congress for the Research with Universities on Intelligent Railroad Systems in
FY17 and FY18, in addition to the total budget for FRA RD&T. If Congress chooses NOT to fund the $1M additional
funds, this activity will not be executed in 2019.
• Publish the BAA
• Review university proposals
• Select prospective research projects
• Fund and begin selected projects
Expected Outcomes:
• Focus on advanced technology, automation, and connected vehicle technologies
• Projects that advance these technologies for rural application
• Intelligent transportation systems
• Workforce development

Office of Railroad Safety Support $850,000*
All RD&T divisions support RRS by providing SME consultation, research, data, and tools to improve railroad safety
and reduce accidents and incidents. RRS works closely with RD&T to provide insight into research needs
throughout the fiscal year. RD&T needs the ability to support requests for research and expertise for time sensitive
safety issues. RD&T plans to support the following RRS requested initiatives:
• Railroad Information Sharing Environment (RISE) Developmental Evaluation Support
• Periodic requests from RRS
• Partner with RRS and industry on RISE
• Conduct research of urgent safety issues
• Provide SME support to RRS
Expected Outcomes:
• Establishment and implementation of a program similar to Federal Aviation Administration’s Aviation Safety
Information Analysis and Sharing (ASIAS) at FRA.
• Analysis of safety risks and identifying mitigations to those risks.
Note: This funding will come from multiple divisions to support their research. The Human Factors division is
planning on funding approximately $850K to initiatives supporting the Office of Railroad Safety.
Public, Private, and University Cooperative Research Agreement $118,770 (Totaling $2,000,000 from all divisions)
The Public, Private and University Cooperative Research Agreement is a collaboration of the Association of
American Railroads (AAR) to provide research opportunities to American academic institutions and it attracts and
funds proposals that have the potential of improving safety and performance in railroad systems in the following
areas: Track, Rolling Stock, Train Control & Communication, and Human Factors.
Annually, the Public, Private and University Cooperative Research Agreement committee members will review and
determine research themes that the railroad industry needs to address through this Agreement. These research
themes will drive research topics. Through this Agreement, research topics will be announced and reviewed and
the most promising proposals will be selected for funding.
All selected proposals have the ultimate goals of improving railroad safety and performance, enhancing the
infrastructure conditions and services by stimulating economic growth, productivity and workforce development,
and serving the nation with reduced regulatory burden and greater efficiency, effectiveness and accountability.
This effort includes cost share arrangement with AAR contributing approximately $800K annually and the railroad
industry’s significant in-kind support.
• Publish the request for proposals
• Review university proposals
• Select prospective research projects
• Fund and begin selected projects
Expected Outcomes:

The expected outcomes align with the DOT Strategic Goals of Safety, Innovation, Infrastructure, and Accountability.
Expected outcomes include:
• Projects that focus on advanced technology, automation, and connected vehicle technologies
• Projects that advance these technologies for rural application
Note: This funding will come from multiple divisions to support their research.
Senate of the U.S. The RSI research program is funded with discretionary funds.
RD&T is collaborating with FRA RRS which has a statutory requirement to identify and study the causal factors
that lead to trespassing incidents on railroad property and develop a national strategy to prevent trespasser
accidents, including milestones, timelines, and metrics to define success. The Committee directs FRA to submit the
trespassing prevention strategy to the House and Senate Committees on Appropriation no later than August 1,
2018. The Committee expects FRA to implement the national strategy to prevent trespasser accidents within the
recommended timelines.
RSI strategically aligns its research with DOT, OST-R, FRA, and RPD goals and strategic plans, with a focus on
of innovation, infrastructure, and accountability. As the railroad industry changes due to disruptive technology,
FRA has been a leader for decades, researching innovative solutions to improve the safety of moving goods and
people in America. RSI continues its research into the industry’s workforce development efforts to support the
infrastructure of America’s railroads. Project evaluations conducted by the RSI division support RD&T’s goals of
accountability and helped gain insight on how RD&T will mature its performance measurement and evaluation
efforts. RSI works closely with FRA RRS to provide the basis for science-based requirements, standards, and
recommendations that have been tested in real-world environments with the help of companies and organizations
who will adopt and use the technology.

RSI will consider rural communities as part of program planning in the future. The Research with Universities on
Intelligent Railroad Systems project will provide preference towards projects that implement technology in rural
areas (see the Program/Activities section).
Program Objectives:
FRA’s RSI research program improves railroad safety by evaluating risks and prioritizing RD&T projects to reduce
safety risk and achieve DOT, OST-R, FRA, and RPD goals. RSI’s objective is to determine strategic research needs

and priorities through collaboration with internal and external partners and stakeholders, considering real time
safety issues requiring subject matter expertise or long-term research solutions.
While rail safety has improved over the last ten years with the downward trend of accidents, FRA is still focused on
improving the safety of railways for the American public and rail workers. RD&T’s main objective is to reduce
incidents and accidents involving America’s railroads, to save lives, and reduce environmental hazards. Some of the
problems FRA is solving include:
• Reduction of accidents caused by human error
• Reducing track-related derailments
• Reducing incidents and accidents related to grade crossing and trespassing
• Investigating automation and technology
RSI achieves its objective through continuous stakeholder engagement throughout a project’s research, technology
transfer, and acquisition life cycles. FRA’s RD&T program objective is to promote innovation and facilitate
leadership across the railroad industry in the exploration and use of technology and automation to advance the
railroad safety culture. Anticipating the increased impact of technology and automation on the railroad industry
for over a decade, RSI’s objective has been to better understand the benefits and impacts of technology on safety
and workforce development. RSI has prioritized research in technology to provide needed solutions to the
industry. RSI addresses market failure by pursuing solutions to safety problems and striving to decrease the
number of incidents and accidents, save lives and reduce property damage.
RSI utilizes stakeholder input to establish research needs and priorities. PMs are members of industry
organizations and regularly engage stakeholders at meetings throughout the year to remain current on the issues
and needs of the railroad industry. RSI research collaboration partners include the railroads, labor,
manufactures/suppliers, universities, non-profits, private industry, city/State/Federal government DOTs, and DOT
OAs. RSI is considering tracking stakeholder input.
Partner Detail

Transportation Research Board TRB collaborates with DOT modes FRA RD&T receives bi-annual review of its
to improve innovation and research, stakeholder engagement, strategic
technology within the planning, priority setting, and evaluation work,
transportation industry. and recommendations on how it can improve.
Free membership. Free registration, for all FRA members, to attend
the TRB annual conference.
Free membership to receive TRB publications, and
Free FRA booth at the TRB annual exhibit.
Universities across the United Expertise and research Subject matter expertise and workforce
States development
In-kind contributions; subject
Amtrak Provide data on noise emissions design features
matter expertise, Peer Review
California High Speed Rail In-kind contribution; subject matter
Association expertise
American Public Transportation In-kind contribution; subject matter
Association expertise, data

Guidance on current regulatory
US Environmental Protection Input and feedback on the boundaries of the tool as
environment; subject matter
Agency it relates to the new noise emissions limits
expertise
In-kind contribution; subject matter Provide locomotive engine, duty cycle data;
Class I Railroads
expertise support testing activities
American universities Subject matter expertise Subject matter expertise
Railroads Access to rail facilities Subject matter expertise
Private industry Product commercialization Subject matter expertise
AAR Subject matter expertise Subject matter expertise
Benefits Detail

FRA RRS Improved safety standards/recommendations
Improved science to improve standards and requirements in support of EPA’s revisions to
noise emissions limit for trains
Rail industry Improved safety standards/recommendations
Reduced regulations
General public Reduced railroad accidents and fatalities
High speed rail transportation, safer rail travel, reduced noise emission
The Manual will encompass both the open and tunnel environments for high speed trains and
increase the safety of passengers, train crews, track workers, and the general public
Small businesses, and Improved railroad research resources and capabilities.
University research centers
Rail Equipment Suppliers and Standardized matrix to determine cost of noise emission mitigation technology for high
Manufacturers speed rail
Class I Railroads Standardized matrix to determine most efficient technology for improved energy and
efficiency of locomotive engines
EPA Improved guidelines for noise emissions limits
High-speed rail operators Design Guidance Manual will permit quantifying and mitigating the aerodynamic effects of
high speed trains.
The RSI program establishes research priorities and defines its acquisition plan considering internal and external
priorities, and aligning priorities with DOT, FRA, RPD, and RD&T goals for the upcoming fiscal year. The RSI
program works with the FRA Office of Acquisitions to initiate various funding vehicles, for both single year and
multi-year contracts, across the division. RSI uses the following acquisition methods for awarding contracts and
grants:

• Indefinite Delivery Indefinite Quantity (IDIQ)
• Full and open competition solicitations
• Sole source acquisition
The RSI program uses a non-competitive acquisition approach for continued research or follow-up research,
unsolicited proposals, and for research that requires special expertise in a timely manner. Most research projects
are funded in a phased approach to accommodate limited funding and limited availability of other resources. A sole
source award is made for unsolicited research ideas that have merit and is aligned with the strategic research
goals.
To provide robust scientific data to RRS for decision-making, Inter-Agency Agreements are established with the
Volpe Center because of its technical and project evaluation expertise, and its existing relationships with the rail
industry used to obtain needed data.
The RSI program utilizes both single year and multi-year acquisitions for projects. Multi-year acquisitions are used
to provide incremental funding for research projects, and to allow for decision-making and potential redirection, as
necessary, as the research progresses.
The RSI program always seeks to leverage non-Federal funds to support its activities. Cost-sharing, matching
funds, and in-kind contributions are mechanisms used to leverage the resources of non-Federal stakeholders and
partners.
RSI works closely with stakeholders throughout the R&D life cycle and the T2 life cycle to increase user adoption of
research products/services. PMs work with internal (e.g., FRA Office of Railroad Safety, other OAs) and external
stakeholders (e.g., Class I and short line railroads, labor unions, equipment manufacturers, State DOTs) to
understand their needs and how the research will affect their eventual adoption of the technology or policy change.
RD&T PMs and their research partners work together early in the research process to communicate the value and
benefit of RD&T’s research products.
Engagement provides benefits to all stakeholders as well as FRA. Across the division’s research projects, FRA and
its partners share information, develop and test new technology and safety tools, improve safety culture, and
contribute to the safe transportation of goods and passengers across America’s railroads. RSI also publishes
Technical Reports and Research Results in the FRA eLibrary, which are available to the American public. PMs also
present their research at numerous industry meetings both nationally and internationally.
The RSI research program participates in external project evaluations that help all divisions improve performance
and increase ROI of government funding.
In 2019, RSI program will work with other RD&T divisions to implement internal processes to improve FRA’s
accountability to the American public based on the recommendations from these groups and skills learned in the
training. PMs will work to implement the evaluation framework, standards, procedures, and templates identified in
the “FRA Evaluation Implementation Plan” and the “FRA Manual for Research, Development and Technology
(RD&T) Program and Project Evaluation.” For more information about these efforts, see the
Evaluation/Performance Measurement section in the Research, Development and Technology section.

RD&T began tracking data with FRA’s OST-R Technology Transfer Report 2017. As discussed in the T2 section,
RD&T will establish baseline metrics using data from FY18 TO track performance against the Innovation
• Collaborative Relationships
• Technical Publications made available to public
• Technical Publication downloads – NTL
• Total Number of Small Businesses supported

Track Research
The Track Research program prepares for the future of rail transportation through applied research, development,
and demonstration. As new technologies continue to emerge, and train axle loads and speeds increase, the timely
development of technical information, data, and expertise is crucial to provide a basis on which to make decisions
about issues affecting the safe operation of rail vehicles on U.S. track. The Track Research program supports the
goals and objectives of the DOT/FRA administration; conducts safety related research for new and in-service
railroad system investments; develops and demonstrates new track condition assessment technologies; and
coordinates research teams between railroads, universities, technology leaders, and the government. There are
three primary research areas included in the program: track structures and components, track and train
interaction safety, and operation of research assets, including the DOT TTC facility.
The Track Research program focuses efforts in developing the scientific basis for removing prescriptive-based
regulations and moving toward performance-based regulations. Under the Vehicle and Track Interaction program,
computer modeling has been developed to evaluate the current track safety thresholds and the corresponding
track forces. The results of this modeling will provide the facts needed to relax or change the current minimum
safety thresholds. Additional activities include developing testing technologies that measure the performance of
the track structure and the dynamics of train cars, and relate that performance to derailment risk.
Track research addresses the improvement of CFR 49 Part 213 Track Safety Standards and Part 231 Railroad Safety
Appliance Standards. By using computer based modeling to determine current track safety thresholds, regulators
are able to adjust current and future regulations that pertain to track safety. This helps to lessen the regulatory
burden on railroads and provides more precise regulations in the future, which ultimately has the potential to lead
to larger safety benefits. Furthermore, by examining the dynamics of train cars and how they relate to derailment
risk, regulations can be designed that more effectively reduce the risk of derailments due to the train car dynamics.
Current efforts of the Track program focus on preventing derailments of trains. Train derailments significantly
affect the average velocity of the train and freight throughput, cost of operations, and customer service. One
method of decreasing derailments currently used by the industry is frequent track inspections; however, track
inspections take track-time and many hours of railroad personnel. The FRA track autonomous inspection program
is an effort to improve the quality and coverage of inspections using automated means. The results of this program
decrease the amount of track inspection time by using revenue service trains as the inspection vehicle and
advanced analytics to process the data to determine the safety risk associated with data collected. This decreases
the time and cost associated with the inspection process and increases safety with the improved capability to
detect defects and prioritize track repair. Decreasing derailments can significantly improve the mobility of freight
over our nation’s railroads.
The research conducted by RD&T improves CFR 49 Part 213 Track Safety Standards. Given the large number of
track miles that exist on the rail network, an autonomous inspection program would allow FRA and the railroads to
inspect larger portions of the network at a reduced cost. This reduction in economic burden for the railroads is
realized through reduced track-time for track inspections, and more efficient allocation of railroad personnel man
hours. Furthermore, the advanced analytics collected have the potential to more effectively and efficiently
determine track deficiencies, reducing the risk of track related accidents, including derailments. From a
productivity standpoint, being able to quickly identify and fix track related defects allows the rail network to
operate more fluidly and reduces the cost of delays caused by derailments.
The autonomous inspection program recently conducted testing on many Short Line, Regional, and Class I
railroads in cooperation with the American Short Line and Regional Railroad Association (ASLRRA). A new
coordinated method was used linking Short Lines with an autonomous inspection car in freight service. Using a
specialized car over their track, a Short Line received a list of high risk locations that could cause a derailment that
should be addressed with maintenance and repair. The Short Lines are typically located in underserved
communities.
In FY 2019, the Track Research program will conduct the following activities:
• Rail Performance and Integrity - Initiate the design of the first prototype Autonomous Internal Rail Flaw
Inspection Device. This advanced technology allows internal rail defect inspection under revenue service
trains at speed to improve operational efficiencies and increase the timeliness of safety-critical condition data.
It is based on the non-contact passive rail techniques currently under development.
• Track Inspection Technology and Processes - Continue development, and start the implementation, of a
Change Detection Machine Vision System that automates data analysis of track inspections to determine
safety related changes to the track structure, and reports this information to stakeholders with limited human
intervention.
• Rail Performance and Integrity - Prototype an End of Train Broken Rail Detection Device. Rails often break
under trains but do not lead to immediate derailment until further damage occurs at the fracture. This project
uses uniquely coupled technologies (e.g., laser, accelerometer, and vision) to identify broken rail
discontinuities and alert railroad operating authorities before the next train arrives.
• Track Buckling and Panel Shift - Prototype a Reference Free Measurement of Rail Force Device. Effective
management of thermal stresses in rail is critical to preventing rail buckles and pull a part. The objective of this
research is to develop a prototype that can accurately measure the absolute stress state of rail without
disturbing the track structure and without prior knowledge of the zero-stress state (neutral temperature) of
the rail.
• Track Inspection Technology and Processes/Track Predictive Analytics - Initiating the development of
Predictive Analytic Evaluation Tools utilizing mathematical, statistical, and signal processing tools for
predicting track structure and substructure behavior through a multi-year joint research initiative with
Amtrak. This effort will produce models that can be used to predict adverse track conditions which will, in turn,
help railroads/Amtrak to plan maintenance and capital investments more effectively, prevent track
downtimes, and, most importantly, prevent safety-related issues.
• Vehicle Track Performance - Construct a Precision Anomaly Curved Test Track at the TTC. This curved track
section, in addition to the existing tangent section, will be used to assess track geometry measurement system
performance on curved track, and verify their accuracy to measure curvature and all track geometry
parameters on curved track section. The other benefit will be to aid calibration and validation of vehicle
models that are used for simulation of vehicle/track performance.

• Track Support and Substructure - Conclude the Ballast Research Testing Program and determine track
geometry degradation rates as they relate to ballast fouling levels and moisture content. Develop guidance for
the FRA RRS enforcement of fouled ballast locations having degraded track geometry conditions.
• Track Inspection Technology and Processes - Coordinate the evaluation of Unmanned Aerial Vehicle (UAV)
Technology through cooperative programs with industry to demonstrate safety improvements by leveraging
UAV technologies for more efficient and effective track inspections.
• Track Inspection Technology and Processes - Implement Innovative Track Inspection Technologies such as
Ground Penetrating Radar (GPR), light detection and ranging (LIDAR), Vertical Track Deflection, nuclear
magnetic resonance, and others that have significant potential to improve track safety, especially if the data
products were closely integrated with traditional track inspection systems such as Gage Restraint
Measurement Systems (GRMS) and Track Geometry Measurement Systems (TGMS).
• Track Support and Substructure - Quantify track instabilities due to ballast movement using Integrated
Sensor Networks. Track structure fails due to “abnormal” ballast particle movement at locations such as rail
joints, turnouts, diamonds, and switches under both freight and high-speed passenger traffic. iBeacon, a data
broadcasting technology, will be integrated into a sensor network called SmartRocks, a ballast motion sensor
previously developed by FRA, to measure track health automatically when passing by with a revenue service
train.
• Vehicle Track Performance - Continue Vehicle/Track Modeling, Simulation, and Validation to better
understand derailment causes and make improvements to simulation methodologies and software to assess,
evaluate, and qualify new equipment prior to revenue service operation.
• Wheel/Rail Interface - Wheel/Rail Surface Defect Assessment to understand how wheel/rail surface defects
grow, root causes of rolling contact fatigue (RCF), and how to prevent these defects from forming using a full-
scale test rig developed by FRA and industry.
Track and Structures – Rail Performance and Integrity $1,449,456

Rail integrity derailments and accidents cost the United States and its railroads about $50 million per year, 4 more
than any other track defect. FRA works with the railroads in committees, conferences, and the Rail Safety Advisory
Committee (RSAC) to understand the current state of Rail Performance and Integrity in the country and what can
be done to improve it.
The scope of this project was to be extended over a longer period of time to meet the reduced proposed President’s
Budget. With full funding of $1.5M, this project can be expedited and be completed on schedule.
• Partner with a willing service provider to initiate a unique automation of detection protocol for ultrasonic rail
inspection that FRA research has developed.
• Develop the first prototype flash thermography technology to detect rail base defects.
• Gather rail defect donations from at least three Class 1 railroads, characterize these defects, and add them to
the FRA rail defect library at TTC for the entire research community to utilize in developing better detection
systems.
• Develop Laser Doppler Vibrometer rail measurement for non-contact rail integrity testing.
• Develop acoustic based rail vibration measurement for non-contact rail integrity testing.
• Field test a patented rail head repair technology to prove it is more robust than current methods.
4 FRA Database
• Develop a more cost effective and smaller rail flaw three-dimensional (3D) image scanner.
Expected Outcomes:
• Initiated unique automation of detection protocol for ultrasonic rail inspection
• Developed prototype of flash thermography technology to detect rail base defects
• Updated FRA rail defect library at the TTC
• Laser Doppler Vibrometer rail measurement for non-contact rail integrity testing
• An acoustic based rail vibration measurement for non-contact rail integrity testing
• Tested rail head repair technology with results to prove it is more robust than current methods
• A cost effective and smaller rail flaw 3D image scanner.
Track and Structures – Track Inspection Technology and Processes $2,103,599

This research addresses inspection technology and processes to improve track safety and decrease derailments in
the nation through:
• Enhanced risk analysis capabilities via improved data collection, management, and integration
• Intelligent synchronization and preparation of datasets for predictive applications using fast and reliable
algorithms that automatically align and process multiple sources of frequently used track-measurement data.
• Identification of high-risk track segments with respect to rail-related defect growth in the nation’s rail network
using new risk measures
• Prediction of the probability of broken rails and, the derailment consequences, through innovative predictive
analytics applications
• Effective mitigation of track-related derailment risk through optimized preventative maintenance strategies
based on risk-management practices
• Development of data-driven technologies and innovations aimed at real-time decision making
• Development of automated track change detection technologies to enhance track inspection effectiveness
• Develop algorithms for the automated, real-time analysis of track-related data in preparation for the prediction
of track degradation rates.
• Complete work on the artificial intelligence (AI)-driven decision-support tool for evaluating track segments for
the risk of rail-related defects and derailments.
• Finalize the development of a prototype track change detection system.
Expected Outcomes:
• Improved capabilities for real-time analysis of track-related data
• Completed AI-driven decision-support tool for evaluating track segments for the risk of rail-related defects and
derailments.
• Prototype of track change detection system
Track and Structures – Track Support & Substructure $1,355,000

The goal of this research is to prevent derailments caused by track support and subgrade issues through improved
understanding of track support and substructures.
• Develop techniques to detect potential failure and evaluate field conditions of ballast and subgrade.
• Develop characterization and further understanding of ballast mechanistic behavior and properties.
• Continue development of Vertical Track Deflection Measurements to provide a structural indication of the
track support structure with large deflection indicating weakness in the track support layers.
• Continue refinement of GRMS technology to identify potential track strength weakness at the rail tie interface.
Expected Outcomes:
• New techniques to detect potential failure and evaluate field conditions of ballast and subgrade.
• Improved understanding of ballast mechanistic behavior and properties.
• Developed Vertical Track Deflection Measurements.
• Improved GRMS technology to identify potential track strength weakness at the rail tie interface.
Track and Structures – Track Buckling and Panel Shift $760,000

Track Buckling and Panel Shift derailments and accidents cost the United States and its railroads about $14 million
per year. 5 This research addresses issues to improve the safety and reduce derailments.
• Develop first generation prototypes to measure rail stress without a zero reference.
• Develop specifications and plans for a rail stress and rail neutral temperature test bed at TTC.
• Study and document how track maintenance and construction can influence rail neutral temperature and track
buckling prevention.
• Upgrade a track buckling prediction web application that can be utilized by FRA, industry, and researchers.
Expected Outcomes:
• Prototypes to measure rail stress without a zero reference.
• Detailed specifications and plans for a rail stress and rail neutral temperature test bed at the TTC.
• Improved knowledge regarding how track maintenance and construction influences rail neutral temperature
and track buckling prevention.
• Web application to improve predictions of track buckling.
Facilities and Equipment - Transportation Technology Center (TTC) $1,239,438

This funding supports RD&T Facilities and Equipment programs, which play an important role in supporting rail
transportation technology, development, testing, standards-development, and training.
• Building improvements required by changes in building codes, regulations, technology, and testing demands.
• Infrastructure upgrades for infrastructure that has reached or is nearing the end of useful life, has become
obsolete, and/or is uneconomical to upgrade.
Expected Outcomes:
• Building upgrades that meet building codes, regulations, new technology, and new testing improvements.
• Upgraded infrastructure to enhance testing capabilities.
Track and Structures – Bridge and Structures $0
5 FRA Database
Two significant problems hinder the use of displacements in bridge condition assessment:
1. Collection of displacements in railroad bridges is limited currently to infrequent situations.

2. The industry has not established standards for acceptable displacement limits. Current limits regarding
displacements are oriented toward design. New limits need to be developed that better relate to the different
levels of service expected for railroad bridges during their life.
This project will address the industry standards for acceptable displacement limits by:
• Optimizing and porting the reference-free displacement estimation algorithms to the next generation wireless
sensor node, the Xnode.
• Collecting critical data about bridges for the same type but in different conditions.
• Developing recommendations about service limit states of each bridge type using railroad bridge
displacements.
• Developing a graphical user interface (GUI) for efficient decision making.
• Documentation and technology transfer.
Expected Outcomes:
• Development of industry standards for acceptable displacement limits.
• Updated reference-free displacement estimation algorithms.
• Enhanced critical data about bridges for the same type but in different conditions.
• Recommendations about service limit states of each bridge type using railroad bridge displacements.
• A GUI for efficient decision making.
• Research documentation and technology transfer data.
Track and Structures – On-Track Research and Testing $227,344

This research improves track safety and decreases derailments on America’s railways. The goal is to eliminate
fatalities and serious injuries on heavy axle load (HAL) mainlines by:
• Identifying and mitigating potential infrastructure-related risk factors.
• Understanding the failure modes associated with heavier tonnage and higher axle-load operations exhibited in
the HAL environment.
• Ensuring the safety and effectiveness of new and innovative technologies and maintenance strategies by way of
thorough evaluation and testing in real-world conditions with a variety of operating, structural, and
environmental considerations.
• Establishing an early warning of future track component and/or wheel failure associated with the
implementation of new, untried track designs, products, materials, and strategies.
• Development and timely implementation of new and innovative technologies and maintenance strategies with
partner Class I railroads.
• Ensuring track infrastructure is planned, constructed, and maintained using best operations and risk;
management practices for HAL through provision of critical research and technical assistance.
• Continue investigation of relationship between degraded ballast conditions and the integrity of track as a
system.
• Evaluate the effectiveness of the ultrasonic impact treatment (UIT) to improve weld strength through lab and
controlled-environment testing.
• Finalize process/procedure for mapping rail-related defects for use of railhead-repair welds (RHRW).
Expected Outcomes:
• Data results on relationship between degraded ballast conditions and the integrity of track as a system.
• Evaluation results of effectiveness of the UIT to improve weld strength through lab and controlled-
environment testing.
• Finalized process/procedure to map rail-related defects for use of RHRW.
Track and Structures – Tie and Fastener Performance and Integrity $805,000
This research will improve track safety and decrease derailments caused by Tie and Fastener Performance
through:
• Improved design and testing standards for engineered-polymer composite (EPC) ties and fastening systems
and identification of root causes of EPC tie-related failures.
• Development and timely incorporation of data-driven recommended practices for EPC tie use.
• Ensuring track infrastructure is planned, constructed, and maintained using best operations and risk
management practices through provision of critical research and technical assistance.
• Initiate modeling and in-track testing of instrumented EPC ties to evaluate the thermal effects on track gage
and stress/load environment.
Expected Outcomes:
• Test results of modeling and in-track testing of instrumented EPC ties, evaluating the thermal effects on track
gage and stress/load environment.
Track-Train Interaction – Vehicle Track Performance $1,209,915

This research will improve track-train safety through understanding of the interaction and forces between vehicle
and track, and how the vehicle performs under different operational conditions traversing different track
anomalies.
• Design of a precision test track section for track geometry measurement systems testing, validation, and
vehicle performance over known anomalies.
• Support FRA in qualification of new equipment and evaluate equipment and track performance
• Testing and validation of new developed track geometry measurement system.
Expected Outcomes:
• Precision test track section designs.
• Qualified and evaluated new equipment and track.
• Tested and validated new track geometry measurement system.
Track-Train Interaction – Wheel-Rail Interface $700,000

Improve the understanding of forces at the wheel-rail interface, and influence of wheel/rail profile and lubrication
practice, to better understand performance and derailment causes and wheel/rail surface damage.

• Study forces at the contact interface by use of the Rolling Fatigue Test Simulator (RCFS) to determine root
causes of RCF.
• Identify factors contributing in RCF (e.g., friction, forces, wheel/rail profile, and track input).
Expected Outcomes:
• Improved knowledge of forces at the contact interface and root causes of RCF.
• Knowledge of contributing factors leading to RCF (e.g., friction, forces, wheel/rail profile, and track input).
Track – Train Interaction – Vehicle-Track Modeling, Simulation and Validation $400,000

This research improves knowledge and understanding of how to model and simulate different operating condition
and components, to understand interactions and forces between vehicle and track.
• Develop procedures for both model building and model validation.
• Develop procedures to include advanced friction models that examine the effects of falling friction, speed, and
third body layer on wheel-rail contact forces, three-dimensional contact geometry.
• Test and model coil springs used in vehicle suspension.
• Build vehicle and track models for various equipment and operating practices to be used for derailment
investigations or developing safety procedures.
Expected Outcomes:
• Model building and model validation procedures.
• Advanced friction model procedures.
• Improved understanding of coil springs used in vehicle suspension.
• Vehicle and track models for derailment investigations and developing safety procedures.
Rail Joints and Welds Research $275,000

FRA conducts research on rail welding and joining to improve overall rail integrity in both jointed and
continuously weld track. Rail weld and joint failures are a leading cause of derailments. FRA efforts are targeted at
improving the reliability of these critical components to ensure rail safety, by developing solid state robotic
welding techniques.
New technologies can be applied to these areas of track to improve safety and reliability. This research effort is
conducted with significant in-kind support from railroads and industry suppliers that supplements FRA’s limited
research funds. This advanced research would not be possible without this support, however, FRA’s leadership
provides a conduit to maximize and align the research efforts.
• In FY19 FRA will continue the development of two technologies that will positively impact rail reliability and
safety.
Repair, install, and in-service performance monitoring of an AMS frog.
• Develop an automated, pre-weld grinding procedure and test and demonstrate the new attachment technique
at DOT’s TTC and in revenue service tracks owned by participating railroads.
Expected Outcomes:
• Develop and demonstrate solid state, robotic welding techniques to repair worn switch frogs.

• Develop and demonstrate new technology to attach signal wires to rail that eliminates the variability in weld
quality and the undesirable metallurgical changes that result from the current CAD-WELD technology used
throughout the industry.
Minimum Safety Requirements $334,248

FRA conducts research to improve the understanding of interaction and forces between vehicle and track influence
of track geometry, vehicle suspension, and vehicle or track design. Based on this information, recommendations
are provided on minimum standards designed to reduce risk of derailment.
Expected outcomes:
• Establishing track geometry parameters to improve safe operation of trains.
• Development of measurement techniques and tools for measuring accurate track geometry.
• Development of measurement techniques and requirements for measuring rail and maintaining proper rail
shape.
• Defining safe track geometry for operation at lower speed
Activities:
• Continue the design and construction of a cart that can be used to measure track geometry very accurately and
easily on the precision slab track at the TTC
• Simulation and analysis of vehicle performance over combination track geometry parameters and assessing
derailment risk.
See Railroad Systems Issues for description, activities, and expected outcomes.
Senate of the U.S. The Track Research program is funded with discretionary funds.
The FRA RD&T Track Research program supports the goals and objectives of the DOT, OST-R, FRA, and RPD
administrations. This program’s fundamental mission is to improve railroad safety. It provides the scientific and
engineering basis for improved industry guidelines and Federal safety standards. It develops new technologies and
transfers this technology to the industry through coordinated research and demonstrations. This includes new and
advanced inspection approaches that, after implementation, provide an improved situational awareness of the
railroad system infrastructure.
These technologies focus railroad maintenance activities on the locations that have the highest risk for
derailments. They incorporate innovative, science-based approaches to evaluate the overall stress state of the
railroad such as longitudinal rail stress, the underlying cause of sun kinks, and rail pull-parts. Highly portable tools
that measure the rail stresses will allow the railroads to monitor track condition and prioritize the maintenance
needed to prevent derailments.

In all inspection system projects conducted, the FRA research team continuously works on autonomous
approaches to permit testing of the track structure using non-contacting, low maintenance sensors under revenue
service vehicles at track speeds. This approach turns every train pass into a track system evaluation. The result is
earlier detection of defects and trending of defect development without interference in train operations. This keeps
average train velocities high over the system, improving mobility of passengers and freight. Throughout the
program, FRA collaborates with the railroad industry to develop and implement these new technologies and
practices to improve overall rail system safety.
Rural communities are directly impacted by the outcome of this research as it affects short line railroads (i.e., small
business railroad entities), which operate 29% of freight rail in the U.S. 6 Short line railroads provide critical
transportation services for rural markets, such as farming and ranching. By preventing derailments through better
control of track-train interaction forces and accelerations, the Track Research program reduces the risk of rail
related HazMat spills and contamination of rural and urban areas affecting local air or water quality.
Program Objectives:
The Track Research program aims to prevent high-consequence derailments that result in the loss of human life
and significant damage to property and communities by:
• Identifying, understanding, and mitigating track-related failure modes that pose significant risk to safe HAL
operations and changes in track designs and/or materials.
• Ensuring the safe and effective implementation of new and innovative technologies and maintenance strategies
intended to mitigate adverse effects of HAL operations on track infrastructure.
• Developing procedures for vehicle and track simulation building and validation.
• Providing guidelines for FRA RRS, railroad industry, and consultants on how to build, model, and simulate
different vehicle or track components to understand the fundamentals of vehicle/track interaction and reduce
derailment risk.
• Increasing the inspection frequency of railroad bridges.
• Predicting, detecting, and preventing rail defects that lead to train derailments.
• Ensuring the safe and effective implementation of EPC ties and their fastening systems through the
development of data-driven recommended practices.
• Preventing track buckles.
• Predicting adverse conditions and safety-related issues in the track infrastructure long before they become
problematic.
• Understanding how changes in track infrastructure condition, operations, and/or regulations can affect the
potential risk for track-related derailments.
• Increasing safety by reducing track support caused derailments.
• Supporting research partners in derailment investigations.
6 Source: American Short Line and Regional Railroad Association

• Supporting research partners and the railroad manufacturing community in vehicle qualification and
evaluation testing.
• Understanding the root cause of RCF in wheels and rails and developing methodologies, techniques, and
inspection tools to identify problematic conditions before they become a safety threat.
FRA needs to invest in this research as it has the responsibility for conceptualizing and demonstrating the
effectiveness of technology solutions that improve safety and where safety regulations may or may not already
exist. The private sector is not motivated to invest in research in areas where it is already compliant with existing
federal regulations and industry standards, even when those regulations and standards do not yield the maximum
possible safety. The railroad industry is focused on overall railroad system efficiency. Preventing derailments is a
component to this efficiency. However, a significant cost goes into track inspection, planned maintenance, and spot
repair that is needed to prevent derailments.
FRA works closely with universities, suppliers, and the railroad industry, including the AAR and individual
railroads. These entities contribute to the success of projects through in-kind support in the form of access to
relevant data, on-track support, intellectual resources, and, in some cases, supporting funds. Within the context of
this specific topic area, documented partnerships with Class I railroads:
• Allow for access to mainline revenue service track for field testing.
• Maintenance-of-way (MOW) personnel for installation and maintenance of test equipment/components.
• On-track support for field verification and measurements.
• Relevant data and technical guidance for extracting necessary information from these datasets.
Suppliers provide donations of essential track components and materials for evaluation and testing purposes.
Partner Detail
American Short Line and In-kind support activities: manufacturing More realistic testing than in a
Regional Railroad Association support, access to railroads and materials, laboratory
(ASLRRA) expert analysis
Canadian National Railroad In-kind support activities: manufacturing More realistic testing than an average
(CN) support, access to railroads and materials, laboratory set up
expert analysis
Genesee and Wyoming Railroad In-kind support activities: manufacturing Critical samples for research and expert
support, access to railroads and materials, advice
expert analysis
Western NY and Pennsylvania In-kind support activities: manufacturing Professional laboratory results without
Railroad (WNYP) support, access to railroads and materials, having to pay for new laboratory
expert analysis equipment
Indiana and Southern Railroad In-kind support activities: manufacturing Real world testing
(ISRR) support, access to railroads and materials,
expert analysis
Toledo, Peoria, & Western In-kind support activities: manufacturing Real world testing
Railway (TZPR) support, access to railroads and materials,
expert analysis
Illinois and Midland Railroad In-kind support activities: manufacturing Realistic rail defects for validating new
(IMRR) support, access to railroads and materials, detection technologies
expert analysis

Indiana and Ohio Railway In-kind support activities: manufacturing More realistic testing than in a
(IORY) support, access to railroads and materials, laboratory
expert analysis
BNSF – Burlington Northern Track materials for test bed More realistic testing than an average
Santa Fe Railway laboratory set up
ArcelorMittal Rails and expertise Critical samples for research and expert
advice
Edison Welding Institute (EWI) Test facilities and data collection Professional laboratory results without
having to pay for new laboratory
equipment
Massachusetts Bay Real world on track testing grounds and Real world testing
Transportation Authority equipment
(MBTA)
Three Class I Railroads Donations of rail defects Real world testing
Norfolk Southern Test location and track time Realistic testing environment
University of California, San Expertise and materials from the rail force test Materials and expertise
Diego (UCSD) bed
Association of American Relevant data, on-track support, intellectual Materials, expertise and funding
Railroads (AAR) resources, and, in some cases, supporting
funds
Rutgers University In-kind support Subject matter expertise
Amtrak Data, track time, intellectual resources, and in Materials, expertise and funding
some cases supporting funds
New Jersey Transit Authority Data, track time, intellectual resources, and in Materials, expertise and funding
some cases supporting funds
Metro North Provide data, track time, intellectual resources, Materials, expertise and funding
and in some cases supporting funds
American Public Transportation Data, track time, intellectual resources, and in Materials, expertise and funding
Association (APTA) some cases supporting funds
Transportation Technology Transportation research, development, Testing and training expertise and
Center, Inc. (TTCI) security, training, and test activities, reliability, support.
and productivity
Benefits Detail

General public Increased safety and more efficient train operations.
Rural and urban communities Improved safety, infrastructure and reduced environmental impact
Rail industry Improved safety, and operational efficiencies.
Other transportation modes Increased exposure of adaptive technologies to improve safety and operations.
The Track Research program establishes research priorities and defines its acquisition plan considering internal
and external priorities, and aligning priorities with DOT, FRA, RPD, and RD&T goals for the upcoming fiscal year.
The Track Research program utilizes a competitive procurement process as often as possible.
The Track Research program works with the FRA Office of Acquisitions to initiate various funding vehicles, for
both single year and multi-year contracts, across the division, including:

• Sole Source
The Track Research program benefits from in-kind contributions (e.g., subject matter expertise, track time, data
sharing, and equipment) from its collaboration partners. A list of these partners, the contributions they make to the
Track Research program’s projects, and how that benefits FRA, can be found in the next section. These
contributions are not only desirable for their inherent value but also guide our researchers to develop practical
technology that will function well in practice. The Track Research program also benefits from partners providing
non-federal funding on the following projects:
Track Research receives $325,000 in supporting funds from AAR for HAL Research and In-Track Testing on an
annual basis.
The Track Research division works closely with stakeholders throughout the R&D life cycle and the T2 life cycle to
increase user adoption of research products/services. PMs work with internal (e.g., FRA RRS, other OAs) and
external stakeholders (e.g., Class I and short line railroads, labor unions, equipment manufacturers, and State
DOTs) to understand their needs and how the research will affect their eventual adoption of the technology or
policy change. RD&T PMs and their research partners work together early in the research process to communicate
the value and benefit of RD&T’s research products.
contribute to the safe transportation of goods and passengers across America’s railroads. The Track Research
division also publishes Technical Reports and Research Results in the FRA eLibrary, which are available to the
American public. PMs also present their research at numerous industry meetings both nationally and
internationally.
• Collaborative research with contractors has resulted in the development and adoption of recommended
practices by the railroad industry and continues to be a driving force for the development of new industry
procedures and processes.
• The developed precision anomaly tangent track is used by the industry to evaluate their geometry
measurement systems. It is anticipated that the new curved track section will enhance and complete the
evaluation regimes.
• The developed knowledge about wheel/rail contact and factors contributing to RCF can help railroads and
manufacturers to develop better operation practice and develop better wheel/rail profile or material.
• The developed knowledge about vehicle/track modeling, simulation and validation can help railroads and
manufacturers to develop better operation practice and develop better vehicles for operation at higher speeds
or higher axle loads.

Evaluation / Performance Measurement:
The RD&T program supports evaluation on behalf of all divisions. The Track Research division participates in these
external project evaluations that help all divisions improve performance and increase ROI of government funding.
In 2014, the Track Research division selected Track Buckling project “Evaluation of Neutral Temperature (NT) and
Incipient Buckling Detection System for Continuously Welded Rail (CTW)” as part of RD&T’s pilot project
evaluation effort, and, later, participated in the TRB’s evaluation focusing on research projects, communication,
stakeholder engagement, strategic planning, priority setting and evaluation. The Track Research division PMs
participated in this year’s project evaluation training aimed at providing a basic evaluation skillset for each RD&T
PM.
In 2019, the Track Research division will work with other RD&T divisions to implement internal processes to
improve FRA’s accountability to the American public based on the recommendations from these groups and skills
learned in the training. PMs will work to implement the evaluation framework, standards, procedures, and
templates identified in the FRA Evaluation Implementation Plan and the FRA Manual for Research, Development
and Technology (RD&T) Program and Project Evaluation. For more information about these efforts, see the
Evaluation/Performance Measurement section in the Research, Development and Technology section.
RD&T began tracking data for FRA’s OST-R Technology Transfer Report 2017. As discussed in the T2 section, RD&T
will establish baseline metrics using data from FY18 TO track performance against the Innovation performance
goals. RD&T will track page views and downloads of published materials in addition to the following data to
measure progress:

Rolling Stock Research
The Rolling Stock Research program performs research activities relating to critical transportation topics that
promote rail safety, improve rail infrastructure, and mobility of goods and passengers, as well as topics that focus
on preserving the environment. The Rolling Stock Research program conducts research to reduce railroad
accidents and incidents due to rolling stock related causes as well as research to reduce fatalities and injury
severity to passengers and crew members involved passenger train accidents and incidents. The Rolling Stock
Research program produces solutions contributing to all DOT Strategic Goals: Safety, Infrastructure, Innovation,
and Accountability. The goals of this program are accomplished through the research areas described.
The Rolling Stock research program is working on multiple performance-based regulations efforts. The program
has established partnerships with other DOT modes, the railroad industry, law enforcement and state and local
governments. Each of the three Rolling Stock program areas has multiple efforts creating performance-based
regulations.
Rolling Stock is collaborating with the Office of Railroad Safety (formerly the Rail Safety Advisory Committee’s
Engineering Task Force) to develop performance-based regulations to enable the introduction of high-speed Tier
III passenger equipment designed to foreign standards in the U.S. The program is working with the Office of
Railroad Safety and the Rail Safety Advisory Committee’s Hazardous Materials Task Force to develop performance-
based regulations for the transportation of hazardous materials by rail (to be incorporated in CFR 174). The
program is working with the Association of American Railroads (AAR) to develop industry standards for
construction, repair, and maintenance of tank cars used to transport hazardous materials in North America.
Ongoing research on tank car impact testing is aimed at developing performance-based requirements for
construction, modification, improvement, and maintenance of tank cars, addressing NTSB Safety
Recommendations to FRA.
Rolling Stock PMs collaborate with the American Public Transportation Association (APTA) to revise existing
standards and develop new safety standards as part of the Passenger Rail Equipment Safety Standards (PRESS)
reactivation effort sponsored in part with FRA funds. Ongoing research on glazing system integrity is aimed at
developing performance-based requirements for glazing retention during passenger train accidents in which
vehicles derail and roll on their sides. Loss of glazing securement has resulted in numerous fatalities and injuries
and is the subject of an NTSB Safety Recommendation to FRA. Rolling Stock is developing a reliable framework for
a wheel life model to explain wheel fatigue to understand and mitigate wheel failures.
Potential Impact of Asset Recycling:
Rolling Stock research activities include the acquisition of tank cars and tank car pieces resulting from derailments.
These tank cars and pieces are acquired from the railroads after an incident and moved to the TTC for further
research and analysis to determine the potential causes of the incident. At the completion of the research, tank cars
and pieces are sold as scrap materials.

The Rolling Stock program is conducting research to improve mobility of freight by identifying rolling stock related
risks and developing strategies for mitigating those risks. One of the methods used by this program to reduce risk
is simulations. The Train Energy and Dynamics Simulator (TEDS) computer software is capable of performing
longitudinal train dynamics simulations to conduct safety and risk evaluations, energy consumption studies,
accident/incident investigations, train operations studies, ride quality evaluations, safety of train make-up, new
equipment design and current equipment evaluations. Application of TEDS to challenges facing the freight industry
can lead to improved safety, efficiencies of operation, and improved mobility.
Research demonstrating the efficacy of advanced wayside detectors offers the ability to identify defective bearings,
brakes and other components before total failure occurs. Wayside detection can better inform the condition of the
rolling stock equipment and components and make more cost efficient general repairs to their equipment. The
program is working with the Office of Railroad Safety to review the Class I railroads waiver from regulatory 1,000-
mile brake inspection to consider using wayside detectors in their operations to flag inappropriate hot or cold
wheels. The waiver request would allow the railroads to travel greater distances before requiring inspection of the
brakes. A process for evaluating wayside detection technology implementation plans was developed, which could
expedite implementation of such technologies leading to improved detection of safety critical defects, increased
operational safety, and improved mobility.
Rolling Stock is conducting an assessment of the operational safety of very long trains. Understanding the braking
and power distribution requirements, as well as train handling needs for such trains, is the focus of this research.
This research will improve mobility of freight by identifying risks and developing strategies for mitigating those
risks; thereby promoting more efficient movement of freight in the U.S.
Rolling Stock is reviewing proposals for Consolidated Rail Infrastructure and Safety Improvements (CRISI) grants
which are targeted at rural communities. It is not clear that Rolling Stock will manage any of the grant(s) identified
for award.
Hazardous Materials (HazMat) Transportation

The HazMat Transportation research program fosters innovation throughout the industry, helping development of
new regulations and design standards that improve the safety and integrity of tank cars and other packages
carrying hazardous materials continuing growth of new research programs that satisfy the need of the industry
and government.
HazMat Collaboration with Pipeline and Hazardous Materials Safety Administration (PHMSA)
The Pipeline and Hazardous Materials Safety Administration (PHMSA) is responsible for all HazMat regulations, to
include those that pertain to the movement of HazMat via the rail network. While the HazMat program does not
directly address the economic impact of regulatory reform, its research addresses the improvements of PHMSA
HazMat regulations. Rolling Stock research that leads to the development of new tank car designs or that improves
the safe transportation of HazMat material has large economic benefits. The cost of a HazMat release has the
potential to be in the billions of dollars, depending on where it happens and what HazMat is released. Reducing this
risk ensures that the occurrences of HazMat releases are minimal and the costs associated with a release are low.
Additionally, due to the economic benefit of transporting goods over the rail network, research into safer tank cars
and improvements to the safe transportation of HazMat potentially allow for different types of HazMat to be
considered for transportation over the rail network (e.g., Liquefied Natural Gas (LNG)). The inclusion of various
types of HazMat on the rail network has the potential to bring lower costs to shippers while at the same time
ensuring that the public’s safety is maintained.
The program manager of the Rolling Stock HazMat research program collaborates across the DOT transportation
modes to conduct research. The Rolling Stock HazMat research program specifically collaborates with PHMSA to
address the safe transportation of hazardous materials packages by rail and reduce the duplication of research
efforts. RD&T conducts research pertaining to bulk packaging traveling by rail, such as: tank cars, rail cars, and
intermodal tanks. PHSMA concentrates research on non-bulk packaging, including cylinders, drums, cardboard
boxes, and bottles that can travel on any mode of transportation. Both PHSMA and FRA RD&T collaborate to
prevent duplication of research, especially on topics that overlap their agreed upon research responsibilities. For
example, FRA RD&T collaborates with PHMSA and the Maritime Administration (MARAD) to ensure the safety of
containers and tank cars intended to transport LNG. RD&T meets bi-monthly with PHMSA to discuss research
(current and future), attends meetings and conferences with PHMSA, and informs PHMSA of inspections.
Some research areas require RD&T and PHSMA to work together on research projects, addressing all packages that
can transport hazardous materials, in the case of intermodal tanks, PHMSA and FRA collaborate on fire and impact
research, since these tanks can be transported by any mode of transportation. This cooperation includes sharing
budgets on some research efforts. This joint research decision prevents duplication of research. The frequent
communication between the OAs ensures that FRA is sharing information so that research results can be beneficial
to both modes and has prevented the duplication of effort between the modes.
HazMat – Tank Car Research $153,000

This research develops and improves the packages that carry hazardous materials, helping to reduce the release of
material during rail accidents and incidents.
• Full-scale dynamic crash test on two tank cars to evaluate performance and validate computer models.
• Fire test on an International Organization for Standardization (ISO) tank to evaluate the survivability under fire
conditions.
Expected Outcomes:
• Provide FRA with information on the crashworthiness and puncture resistance of different tank cars used in
transportation of hazardous materials.
• Determine cars’ behavior and failure modes under accident and normal transportation conditions.
• Provide a foundation for modifying, eliminating, or creating standards by leading research and capturing the
results.
• Disseminate this information to the rail and tank car industry so it can be used for tank car designs.
HazMat – Structural Integrity $400,000

The goal of this project is to understand the performance and durability of safety equipment, and protective
systems for tank cars and portable tanks. This research area focuses on study of the current fleet, identifying
problems with current equipment and packages.
• Studies for FY19 include a man way cover closure tightness test and a coupling impact test to better
understand the operational environment and forces exerted on tank cars during switching operations.
• Additional studies are identified by the data collected during safety and tank car inspections.
Expected Outcomes:
• Provide RD&T and FRA RRS with information on the performance and durability of safety equipment for tank
cars and portable tanks so DOT has the required information to justify, modify, eliminate, and create safety
standards.
HazMat – Accident Consequence Reduction $437,505

This research will study the loading and unloading practices of hazardous material to improve the operating
practices and securement of the package for safe transportation and reducing non-accident releases.
• Investigate accidents involving hazardous materials packages.
• Conduct forensic analysis on equipment.
• Procure and store equipment for further investigation.
Expected Outcomes:
• Better understanding of how failures occur and how to best prevent or manage the consequences of such
failures through improved equipment design and protection.
• Help FRA evaluate and document damage to railroad tank cars, study and capture the results of the
liquid/vapor release flow on pressure relief devices, and improve resistance to failures that cause hazardous
material release during train accidents.
Rolling Stock Equipment and Components (RSEC)

Research efforts in the Rolling Stock Equipment and Components (RSEC) program area focus on development and
improvement of equipment defect detection and control. Both wayside and onboard detection and control systems
offer diverse platforms for such research and demonstration.
RSEC research addresses the improvements of CFR 49 Part 231 Railroad Safety Appliance Standards and CFR 49
Part 213 Track Safety Standards. The ability to monitor and detect defects within RSEC has the potential to bring
about productivity and safety benefits. When defects are detected early, such as a defect pertaining to the wheel of
the equipment, the risk of an accident caused by that type of defect decreases. Early detection of defects can lead to
a decrease in some defect caused accidents. The inclusion of both wayside and onboard detection helps to ensure
that defects are detected and allows for better information to be sent to the railroads regarding the exact nature of
the defect. Additionally, wayside and onboard detection, can inform the condition of the RSEC and leading to more
cost efficient general repairs to their equipment.
RSEC – Rolling Stock Component Safety $2,732,637

The research comprised in this project proactively prevent above-track equipment and component failures (e.g.,
situational hazard prevention), and provide the analytical and technical basis to develop equipment safety
standards while also improving safety, reliability, and respectability of rail equipment, technologies, and material.
• Evaluate and test equipment and components for increased integrity to withstand damage and failure that
could increase risks and lead to accidents and incidents.
• Research methods to measure the predictability of equipment health and component wear life.
• Collaborate and support the demonstration and implementation of wayside and onboard monitoring and
inspection of equipment and components to help ensure safe train operations.
Expected Outcomes:
• Research, development, and technology transfer of components and systems that reduce the risk of rail
incidents and accidents and increase the safety of the nation’s rail transportation network.
• Reduce the likelihood of derailments from equipment failures and mitigate the consequences should
derailments occur through these or other causes. Strategic priorities include investigation of the effectiveness
of wayside and onboard monitoring systems to detect equipment defects and analysis of component failure
modes to identify necessary improvements in materials and construction methods.
• Design, develop, and demonstrate prototypes of effective wayside and onboard technologies that can provide
component health monitoring.
RSEC – Rolling Stock Maintenance & Inspection $953,474

The focus of this research is to evaluate and demonstrate the effectiveness and efficiency of automated inspection
and maintenance procedures and equipment. This project will demonstrate the ability to develop, monitor, control,
and evaluate integrated advanced components to detect defects in real-time, predict and prevent future failures,
improve rolling stock capabilities and performance, and improve overall rail operational safety. Developing a
system for powering many advanced detection devices on freight trains will increase safety and security, and
improve the efficiency of freight railroad operations. Technologies developed to detect defects on rolling stock
equipment, and predict future failures that may be prevented, will substantially improve railroad safety. These
investments keep the U.S. rail sector growing and improving to keep up with the latest efficiency and safety
standards.
Benefits of this research include improved safety requirements, lower operating costs for railroads, reduced
railroad accidents and fatalities, improved equipment service life for equipment, and increased safety, security and
efficiency of freight railroad operations.
• Evaluate and demonstrate advanced equipment and inspection and maintenance procedures.
• Demonstrate the ability to develop, monitor, control, and evaluate integrated advanced components.
• Develop a system to power advanced devices and systems.
• Develop a reliable framework for a wheel life model.
• Develop technologies to detect defects on rolling stock equipment and predict failures.
Expected Outcomes:
• A system to power advanced detection devices.
• Technologies to detect defects on rolling stock equipment and preventable failures.
• An explanation of wheel fatigue to help mitigate wheel failure.
• Quantify the effects of tread braking on wheel damage mechanisms and fatigue life.
• Develop and conduct vehicle dynamics simulations.
• Demonstrate results that could be used by industry and universities to make improvements to railroad safety
through systematic, basic research.
RSEC – Train Handling & Operating Practices $1,470,846

This research will develop simulation scenarios to evaluate different network and capacity related parameters
with ECP brakes and PTC technologies, and compare these to the conventional signaling and braking applications.
Simulation scenarios include network topology, traffic type, ECP scenarios, and PTC scenarios (with and without
ECP scenarios).

This research will also focus on developing effective methodologies/models for evaluating the economic benefits of
improving railroad network velocity and capacity. These tools will be critical in demonstrating the benefits of
technologies such as ECP brakes, PTC, higher speed operations, and shared corridors.
This research is in line with FRA’s mission to improve safety and performance, and prevent derailments that cause
injury and loss of life. Derailment prevention is a major safety issue. It is in FRA’s best interest to enhance the
economic benefits of improving railroad network velocity and capacity. The rail industry will benefit from this
research through improved safety requirements, lower operating costs, reduced railroad accidents and fatalities,
and overall improved railroad performance.
• Develop simulation models to evaluate network and capacity related parameters with ECP brakes and PTC
technologies, and compare to conventional signaling and braking applications.
• Evaluate the economic and safety benefits of improving railroad network velocity and capacity.
• Develop effective methodologies/models for evaluating the economic benefits of improving railroad network
velocity and capacity. These tools will be critical in demonstrating the benefits of technologies such as ECP
brakes, PTC, higher speed operations, shared corridors, etc.
• Technical support and coordination are provided to develop regulations and industry standards to promote
the safe interaction of rail vehicles with the track over which they operate. Technical support includes, but is
not limited to, conducting analyses, simulation studies designed to examine vehicle response to track geometry
irregularities, reviews of vehicle qualification and revenue service test data, and consideration of international
practices.
Expected Outcomes:
• Establish optimal train operating practices, improve equipment and component design, promote fuel
conservation, and improve ride quality.
• Support the Engineering Task Force (ETF) II Inspection, Testing and Maintenance (ITM) Working Group of the
Rail Safety Advisory Committee (RSAC).
• Support of American Public Transportation Association (APTA) Mechanical Group in revising and updating
various standards including the Truck Equalization Standard.
• Support to the FRA Office of Railroad Safety related to testing and evaluation of equipment.
• Develop methods for condition monitoring and inspection of critical suspension components.
Train Occupant Protection (TOP)

The Train Occupant Protection program will carry out research on structural crashworthiness and interior safety
of locomotives in intercity and commuter rail cars, with the aim of improving the survivability of rail passengers
and crewmembers in accidents. The goal of this research program is to promote and improve the safety of the
national passenger rail transportation system.
Research by the TOP program improves CFR 49 Part 238 Passenger Equipment Safety Standards and CFR 49 Part
239 Passenger Train Emergency Preparedness. The structural crashworthiness of the locomotive is paramount for
crewmembers. Improving the crashworthiness of the locomotive and train cars decreases the risk of a fatality in
the event of an accident. Fatalities represent a large economic cost, both in the loss of human life and the economic
loss of human productivity. A reduction in fatalities presents a relatively large benefit, especially on passenger rail
service, where large numbers of individuals could be involved.
TOP – Locomotive Crashworthiness and Occupant Protection $1,252,825

Research in this area will develop improved strategies and designs for rail rolling stock to reduce injuries and
fatalities resulting from rail accidents (i.e., collisions and derailments). FRA needs to invest in this research to
support its missions of improved safety, performance, and mitigation of the consequences of collisions and
derailments that cause injury and loss of life. Crashworthiness and Occupant Protection continue to be major safety
issues as evidenced by several recent, high-profile collisions and derailments.
• Research activities focus on conceptualizing, analyzing, designing, and demonstrating the effectiveness of
engineering improvements to rail vehicle crashworthiness.
Expected Outcomes:
• Reduced fatalities and injuries to train crews, passengers, and the public.
TOP – Glazing Standards $0

In the last 44 years, at least 25 fatalities have been attributed to ejection through rail car window openings during
passenger train accidents. The research in this area will comprehensively describe all the engineering
requirements placed on glazing systems, survey existing glazing systems design strategies used throughout the
world, and assess the effectiveness of these designs in meeting all of the engineering requirements. In addition to
functioning as a window, glazing systems are also expected to be impact resistant, provide emergency egress,
provide emergency access, be fire resistant, and provide occupant containment.
FRA needs to invest in this research as it has the responsibility for conceptualizing and demonstrating the
effectiveness of technology solutions that improve safety and where safety regulations may or may not already
exist. The private sector is not motivated to invest in research in areas where it is already compliant with existing
federal regulations and industry standards, even when those regulations and standards do not yield the maximum
possible safety.
• Perform full-scale testing to investigate the performance of alternative means of protecting the rubber gasket
that holds passenger car windows in place. These gaskets are often ripped from the side of the train during
derailments.
• Test novel approaches for gasket protection to assess their efficacy in maintaining the structural integrity of
the windows attachment.
Expected Outcomes:
• Identify candidate protection strategies most likely to mitigate window loss in derailments. The focus will be
on methods that can potentially be retrofit on existing passenger equipment to foster wider adoption by
passenger car builders.
TOP – Fire Safety Research $260,000

This work will evaluate cost-effective, alternative methods and criteria for passenger rail equipment fire safety.
The FRA requirements for fire safety performance were developed over 20 years ago. Newer innovative
technologies, evaluation methods, and industry standards have been developed within this timeframe. This
research allows FRA to review the current requirements for equivalency with newer standards, possibly allowing
for the application of newer industry standards.
• Validate fire dynamics models that can be used to predict the behavior of different types of material.
• Conduct small-scale and large-scale tests of passenger rail car interior materials to determine fire safety
performance.
Expected Outcomes:
• Validation of fire dynamics models that can be used to predict the behavior of different types of material and
components used in passenger rail car interiors.
• Alternative techniques for showing compliance with Federal requirements for material flame and smoke
performance.
• The output from this research will assist FRA in decision-making as to the compliance of passenger rail
equipment.
TOP – Emergency Preparedness Research $0

This project will investigate and develop innovative safety technologies that improve emergency preparedness and
egress features of passenger rail equipment. The Emergency Preparedness Research program supports initiatives
that ensure passenger rail equipment and onboard crewmembers’ training is modern, progressive, and effective.
• Develop and demonstrate tools and techniques that ensure passenger rail crewmembers are sufficiently
trained to perform safety and life-saving functions for passengers during emergencies. The research tools can
be used to better design or access design of equipment for rapid and easy egress.
Expected Outcomes:
• Scientific-based data on the efficacy of ingress and egress from passenger rail equipment under various
accident scenarios such as an inclined, emergency lighting, or smoked filled rail car. Data will be collected on
time to enter and exit the rail car.
• Define minimum safety standards for passenger rail equipment.
• Collect data in a transparent manner in collaboration with the private sector, and ensure findings are shared
across all interested stakeholders.
TOP – Cab Displays, Controls, & Environment $220,000

This project will improve cab/locomotive visibility at night, provide extra alerting for track workers and
attempting trespassers, provide extra visibility/alerting when approaching grade crossings, unify an optimized cab
display across all railroad providers, increase freight and passenger rail safety, and reduce operating and
maintenance costs for locomotives.
• Improve locomotive cab displays, control, and visibility at night. In this phase (Phase 1) of the light-emitting
diode (LED) sample testing, FRA will validate whether all LED samples submitted by locomotive headlight and
auxiliary light suppliers are following all applicable standards and codes. Samples that satisfy the requirements
set forth in Phase 1 will be eligible for Phase 2: subjective field testing for LED sample fixtures.
Expected Outcomes:
• Provide guidance for the target luminance of LED fixtures in the “dim” setting.
• Improve train control and visibility.
• Reduce fatalities and injuries to train crews, passengers, track workers, and the general public.

Liquified Natural Gas (LNG) - Natural Gas Safety Research $35,713
This research will investigate innovative safety technologies that will improve the transportation and use of
natural gas, both liquefied (LNG) and compressed (CNG), in the rail sector. The research provides the FRA RRS with
the scientific basis for decision-making and development of standards and requirements.
• Continue initiatives for the planned grade-crossing impact load case on an LNG fuel tender.
• Finalize collision dynamics model of grade-crossing impact.
• Develop the industry specifications for LNG and CNG fuel tenders.
• Assess equipment that is in prototype services, or those that have accumulated over 1,000,000 miles of
revenue service, for the effectiveness of their safety features.
Expected Outcomes:
• Develop fundamental knowledge on the performance of safety design features of natural gas fuel tenders and
transportation tank cars and ISO tanks
• Identify and apply risk criteria for review of applications for shipment of LNG. The research area will yield
needed information on the crash environment and performance of industry specified tenders.
• Develop a knowledge base on the performance of the safety design features of tank cars and ISO tanks under
accident scenarios. This provides FRA with the scientific knowledge needed to support development of
performance-based requirements over current prescriptive standards, allowing for more innovation in the
design of rail equipment. The FRA RRS must make decisions based on scientifically defensible safety/risk
assessments.
• Provide FRA the tools it needs to support the PHMSA and conduct its business as it relates to the safety of
natural gas research.
Safe Transportation of Energy Products (STEP)* $2,000,000

This project will assess the operational safety risks associated with hazardous material unit trains, and will focus
on determining if unit train operation of hazardous materials presents any unique or additional risks compared
with 1) unit train operations of non-hazardous materials or 2) mixed-freight operations involving the same
hazardous materials as currently or planned for transportation in unit trains. FRA will develop a risk model for
quantifying risks associated with the operation of hazardous material unit trains and on risk mitigation.
As part of this project, FRA will continue providing engineering support in the research, design, fabrication, and
test planning of ISO tank and tank car fire testing and the structural performance of these equipment used as fuel
tenders and energy products as commodity transport.
*This funding is an earmark provided annually by Congress for Safe Transportation of Energy Products (STEP).
This is in addition to the total budget for FRA RD&T. If Congress chooses NOT to fund the $2M earmark, this
activity will not be executed in 2019.
• Provide engineering support in research, design, development, and test planning.
• Test ISO tank and tank cars.
• Collaborate with PHMSA.
Expected Outcomes:

• Understand the risk related to the transportation of different hazardous materials in different train
configurations.
• Understand the risk related to the transportation and use of energy products (LNG, ethanol, etc.).
• Develop a risk model for quantifying risks and risk mitigation for hazardous material on unit trains.
Rolling Stock research program is part of FRA’s statutory requirement; it is the program that manages the tank car
research.
FRA’s RD&T Rolling Stock Research program focuses on improving railroad safety. It provides the scientific and
engineering basis for improved industry and Federal standards and improved safety enforcement and compliance
using those standards. Through the program, FRA collaborates with the railroad industry to develop and
implement new technologies and practices to improve overall rail system safety. The Rolling Stock Research
program, in collaboration with the rail industry, is aimed at reducing derailments due to equipment failures,
minimizing the consequences of derailments, and minimizing hazardous material accidental releases

This program inherently has a significant impact on rural communities in that improving equipment and operating
practices reduces the risk of rail-related HazMat spills, and the hazardous materials research minimizes the
consequences of the releases that may affect rural communities.
Program Objectives:
FRA’s Rolling Stock Research program improves railroad safety through evaluating risks and prioritizing RD&T
projects to reduce safety risks, and to achieve DOT, OST-R, FRA, and RPD goals. The Rolling Stock division’s
objective is to determine strategic research needs and priorities through collaboration with internal and external
partners and stakeholders, considering real-world safety issues requiring subject matter expertise or long-term
research solutions.
The Rolling Stock research program conducts research that is critical to the rail industry and the American public.
This program helps mitigate potential risks of unexpected failures occurring in rolling stock that can cause delays
and disruptions to transport services or even result in derailment accidents. This program’s research helps
determine criticality and methods for identifying, analyzing, and evaluating potential failure modes. FRA invests in
technology that is innovative and has a lower technology readiness level than the private sector can justify. This
investment keeps the U.S. rail sector growing and improving to keep up with the latest efficiency and safety
standards. FRA also undertakes research-partnering with railroads and other interested parties, which results in
successful demonstrations subsequently adopted by the industry.

The Rolling Stock Research program is subject to continuous input and review from industry stakeholders. PMs are
active contributors to industry committees and meetings overseen by the AAR, APTA, American Society of
Mechanical Engineers (ASME), and others. Input from industry stakeholders at these meetings is solicited and
appropriately addressed in ongoing research efforts. Program staff also publish research results for peer review in
technical journals, both domestically and internationally.
For example, Fire Safety research will be coordinated with AAR’s Locomotive Equipment Engineering and Tank Car
Committees, APTA, National Fire Protection Association (NFPA) and presented at other industry forums. Research
results will be disseminated for review and implementation by the FRA RSAC; AAR; APTA Passenger Rail
Equipment Safety Standards Committee; NFPA via committee meetings and conferences such as the Joint Rail
Conference, the APTA Rail Conference, the International Heavy Haul Association Conference, the Fire Protection in
Rolling Stock Conference; and others.
Partner Detail
Partner Name Contributions Benefits of Partnership
Tank cars owners In-kind contributions include tank cars, Equipment, subject matter expertise
valves, engineering consultation.
Tank car shops In-kind contributions include tank cars, Equipment, subject matter expertise
valves, engineering consultation.
Sharma & Associates, Inc. Data analysis, test support, actual Subject matter expertise
testing, resources and modeling. In-kind
equipment contribution.
Transportation Technology Center Data analysis, test support, actual Subject matter expertise
testing, resources and modeling. In-kind
equipment contribution.
Class I freight railroads Donations of railcars for using in testing Equipment, subject matter expertise
(including destructive testing).
Passenger rail equipment Donations of equipment or components Equipment for testing
manufacturers and component (e.g., window glazing samples, prototype
suppliers seats, passenger workstation tables).
Passenger and commuter railroads Donations of railcars for using in testing Equipment for testing
(including destructive testing).
Passenger and freight industry Donations of railcars for using in testing Equipment for testing
associations (including destructive testing).
BNSF Railroad Access to bearing/wheel Shop facilities, Equipment/material
operator time, allow sample collection.
In-kind contributions of $6,000.
Norfolk Southern Railroad Access to bearing/wheel shop facilities, Equipment/material
Progress Rail Access to bearing/wheel shop facilities, Equipment/material
Union Pacific Railroad Access to bearing/wheel shop facilities, Equipment/material

Partner Name Contributions Benefits of Partnership
Indiana North Eastern Railroad In-kind contributions of $6,000: Provide Equipment, subject matter expertise
labor and access to their cars and
locomotives for test installation and
feedback.
Metropolitan Transportation In-kind contribution: Provide access to Data
Authority (MTA) (Metro-North their data and operational information,
Railroad and Long Island allowing us access to data that is
Railroad) difficult to gather, which can be then be
used to evaluate the safety efficacy of
these wayside systems.
Railway and industrial specialties In-kind contribution: Access and data on Data
wheel failure types and defect details,
allowing for accurate modeling of
defects.
Penn Machine Company (potential) In-kind contribution: Design data on Data
wheels, and access to wheel
replacement data to help validate wheel
life model.
Siemens and Alstom In-kind support (personnel, facilities, Facilities
equipment) may be provided to perform
tests which may be necessary as part of
new equipment qualification.
LED manufacturers In-kind contribution which include Material for testing
Railroads Halogen and tungsten light samples.
Meeting participation; technology
requirements; in-kind support.
TTC, American Public Passenger rail equipment manufacturers Equipment for testing
Transportation, AAR, and TTCI (e.g., Siemens, Alstom, Stadler) have donat
window glazing for our ballistics test
program.
Benefits Detail
FRA RRS Improved safety recommendations and innovative solutions
Rail industry FRA will acquire:
FRA RRS • In-depth knowledge of the performance of tank cars and the
Tank car owners different service equipment of tank cars and portable tanks
Tank car manufacturers • In-depth knowledge of the crashworthiness of different types of
Leasers tank car shops tank cars and the failure modes to improve the performance of
HazMat packages
General public • Reduced railroad accidents and fatalities
• Lower operating costs
• Reduced railroad accidents and fatalities
• Improved service life for its rolling stock equipment
• Improve railroad performance
Small businesses, and university research centers Improve their railroad research resources and capabilities
The Rolling Stock Research program benefits from the expertise, experience, and contributions of its stakeholder
partners. Non-governmental partners provide cash contributions, donations of equipment and components, data,
oversight, and peer review to rolling stock research initiatives.
Rolling Stock Research Partners are Members of the following Organizations
American Railway Association (ARA) University of Nebraska
American Public Transportation Association (APTA) Southwest Research Institute
Pipeline and Hazardous Materials Safety Administration Sandia National Laboratories
(PHMSA)
National Railroad Passenger Corporation (Amtrak) Friedrich Research
Southeast Pennsylvania Transportation Authority (SEPTA) Transport Canada
Transportation Technology Center Inc. (TTCI) U.S. Access Board
Progress Rail Next Generation Equipment Committee
General Electric Transportation Services Volpe National Transportation Systems Center
Trinity Rail TRB
Chart Industries U.S. Environmental Protection Agency (EPA)
Michigan Technical University U.S. Department of Energy (DOE)
Oregon State University National Transportation Safety Board (NTSB)
California Department of Transportation
The Rolling Stock Research program establishes research priorities and defines its acquisition plan considering
internal and external priorities and aligning priorities with DOT, FRA, RPD, and RD&T goals for the upcoming fiscal
year. The Rolling Stock Research program works with the FRA Office of Acquisitions to initiate various funding
vehicles, for both single-year and multi-year contracts, across the division. The Rolling Stock Research program
uses the following acquisition methods for awarding contracts and grants:

• Indefinite Delivery Indefinite Quantity (IDIQ)
• Full and open competition solicitations
• Sole source acquisition
The Rolling Stock Research program uses a non-competitive acquisition approach for continued research or
follow-up research, unsolicited proposals, and for research that requires special expertise in a timely manner. Most
research projects are funded in a phased approach to accommodate the limited funding and availability of other
resources. A sole source award is made for unsolicited research ideas that have merit and is aligned with the
strategic research goals.
To provide robust scientific data to the Office of Railroad Safety for decision-making, Inter-Agency Agreements
(IAA) are established with the Volpe Center because of its technical and modeling expertise and its existing
relationships with the rail industry used to obtain needed data. The Volpe Center provides specialized support to
the Rolling Stock Research division for the investigation of passenger train accidents and incidents. Personnel from
the Volpe Center travel to accident sites and provide on-the-ground support to National Transportation Safety
Board (NTSB) investigators and local FRA inspectors when needed. Work products produced by the Volpe Center
are readily accepted and respected by the rail industry. Volpe is also a source for computational simulations.
The Rolling Stock Research program utilizes both single-year and multi-year acquisitions for projects. Multi-year
acquisitions are used to provide incremental funding for research projects, and to allow for decision-making and
potential redirection, as necessary, as the research progresses.
The Rolling Stock Research program always seeks to leverage non-Federal funds to support its activities. Cost-
sharing, matching funds, and in-kind contributions are mechanisms used to leverage the resources of non-Federal
stakeholders and partners.
The Rolling Stock research program works closely with stakeholders throughout the R&D life cycle and the T2 life
cycle to increase user adoption of research products/services. PMs work with internal (e.g., FRA Office of Railroad
Safety, other OAs) and external stakeholders (e.g., Class I and short line railroads, labor unions, equipment
manufacturers, state DOTs) to understand their needs and how the research will affect their eventual adoption of
the technology or policy change. RD&T PMs and their research partners work together early in the research
process to communicate the value and benefit of RD&T’s research products.
contribute to the safe transportation of goods and passengers across America’s railroads. The Rolling Stock
research program also publishes Technical Reports and Research Results in the FRA eLibrary, which are available
to the American public. PMs also present their research at numerous industry meetings both nationally and
internationally.
The Train Energy and Dynamics Simulator (TEDS) is a software tool designed and developed for studying train
safety, operations, and dynamic performance, and can be used for modeling train performance under a wide
variety of rolling stock, track/terrain, and operating configurations. The tool has been validated extensively under
a variety of real-world and laboratory settings. Railroads, railcar builders, systems suppliers, academic institutions,
consultants, and agencies (e.g., NTSB), can use TEDS to study train operations, performance, and safety. Having
developed and validated the tool, FRA remains a primary user and stakeholder. The software is maintained by the
FRA contractor who developed TEDs.
In 2016, TEDS was made available to the general public. This was announced through professional industry
magazines (Railway Age and Progressive Railroading) and professional conferences arranged by the ASME Rail
Transportation Division. Research papers on the use and application of TEDS continue to be presented at industry
forums and conferences. A paper on the validation of TEDS was presented at the ASME Joint Rail Conference in
Pittsburg, PA on April 18-20, 2018. Twenty-one parties have expressed interest in TEDS; there are seven current
users. Discussions are underway with other potential users of future software.
In 2019 and beyond, FRA will continue to make TEDS available to interested parties, including railroad industry
entities, universities and research institutions, and other government agencies. Support provided includes hosting
the software on a secure private server, conducting user training and providing support for resolving issues in the
use and interpretation of results.

Beneficiaries:
• Railroads can optimize train makeup and train operations. For example, the tool can be used to determine
optimum number and placement of locomotives, safe train handling practices, and fuel consumption studies.
Car builders and systems supplier may benefit by using TEDS to design and optimize the systems they are
supplying, such as brake systems, coupler/draft systems, etc.
• Institutions with a safety mandate can benefit from the use of TEDS for a variety of safety studies, including
investigations of train incidents and derailments.
Regarding the effectiveness of TEDS, FRA and NTSB have used TEDS to investigate train derailments and evaluate
various air brake systems and their impact on train handling and operation safety. The Transport Safety Board of
Canada is conducting internal studies, and the Canadian National Research Council is conducting proprietary
studies. There have been no intellectual property activities associated with this research effort. This research is in
the Research Hub, but does not yet appear in the National Transportation Library.
The past 3 years of funding for TEDS is as follows:

2016: $130,000, 2017: $67,000, and 2018: $80,000 (projected)
The Rolling Stock Research program participates in these external project evaluations that help all divisions
improve performance and increase ROI of government funding.
In 2014, the Rolling Stock research program selected the Locomotive Efficiency area to be evaluated under the
project “Evaluation of Rail Energy, Environment and Engine-Efficiency Technology Research Program” as part of
RD&T’s pilot project evaluation effort, and, later, participated in the TRB’s evaluation, focusing on research
projects, communication, stakeholder engagement, strategic planning, priority setting, and evaluation. Rolling
Stock Research program PMs participated in this year’s project evaluation training, aimed at providing a basic
evaluation skillset for each RD&T PM.
In 2019, the Rolling Stock research program will work with other RD&T divisions to implement internal processes
to improve FRA’s accountability to the American public based on the recommendations from these groups and
skills learned in the training. PMs will work to implement the evaluation framework, standards, procedures, and
templates identified in the “FRA Evaluation Implementation Plan” and the “FRA Manual for Research, Development
and Technology (RD&T) Program and Project Evaluation.” For more information about these efforts, see the
Evaluation/Performance Measurement section in the Research, Development, and Technology section.
Development of Innovation:
will establish baseline metrics using data from FY18 to track performance against the Innovation performance

measure progress:

Train Control and Communication
The Train Control and Communication (TCC) research program focuses on improving railroad operation safety
through the development and testing of train control and communication systems and grade crossing safety
technologies. The program also conducts pilot studies, creates prototypes, and demonstrates safety and security
systems, including intelligent rail systems, blocked crossings, and trespass prevention.
TCC Collaboration with Intelligent Transportation Systems Joint Programs Office (ITS-JPO)
The TCC research program collaborates with the Intelligent Transportation Systems Joint Program Office (ITS-JPO)
on multiple efforts. TCC meets regularly with ITS-JPO (once or twice per month, based on research needs) to
address safety issues within the railroad industry and reduce the duplication of research efforts. Currently, RD&T
is collaborating with ITS-JPO on automated behavior related to grade crossings (GX) to determine how to protect
people in connected vehicle scenarios. TCC received $1.5M in funding over a 3-year period from ITS-JPO in a
research collaboration on the Railroad Crossing Violation and Warning System (RCVW) to develop a concept of
operations and safety scenarios.
RD&T is researching and developing technologies that will leverage existing PTC system functionality to enable
automated train operation and safe negotiation of grade crossings by automated vehicles. These research activities
include evaluation of sensor technologies, communication system requirements, and system safety analyses. In
August 2018, FRA engaged approximately 30 stakeholders across all modes of transportation to discuss a
comprehensive review of automation systems, safety system designs, and direction. FRA will document, discuss,
and evaluate stakeholder ideas and feedback and schedule follow-up meetings. FRA will sponsor multiple
stakeholder interactions to review stakeholders’ proposed designs prior to structuring research and development
of systems that will be implemented alongside existing PTC systems. This process will help improve technology
transfer and reduce barriers to adoption.
RD&T also collaborates with ITS-JPO through the Office of the Assistant Secretary for Research and Technology
(OST-R) to discuss strategy and planning. Frequent communication with ITS-JPO allows FRA to share information
so that research results can be beneficial to ITS-JPO, and has prevented the duplication of effort on research.
Train Control and Communication’s research in PTC is improving the mobility of freight. PTC allows for the faster
delivery of people and goods, increasing the frequency of railway operations while keeping operations safe and
intact. Improved communications allow the railroads to manage dispatch differently, increasing the number of cars
during operations, thus increasing frequency and speed of delivery. The industry utilizes several variables to
determine railroad schedules (e.g., car type, typology, track layout, stopping time, accelerating time, etc.) and PTC
enhancements allow the industry to maximize these benefits to increase rail network capacity.
Train Control and Communication’s research in PTC is improving the mobility of freight for all communities.

PTC Congressional Mandate Deployment:
Deployment of PTC by the railroads was outside the scope of the FRA’s Office of RD&T. Enforcing and monitoring
the deployment of the PTC technology has been handled by FRA’s Office of Railroad Safety. The deployment has
been successful, as noted in OST’s memorandum December 31, 2018:
• The 41 railroads required by Congress to implement PTC by December 31, 2018, have submitted
documentation that they assert is sufficient to meet the statutory requirements for system activation or the
statutory requirements to qualify for an alternative schedule (“extension”) for up to 2 additional years to
complete full implementation.
• As of the third quarter of 2018, the percentage of track segments completed is 94% for freight railroads and
77% for passenger. This compares to 20% for freight and 13% for passenger as of the third quarter of
2016. 2018 yielded many positive results and highlighted great collaboration between industry and
government. However, significant work remains to be done in order to ensure additional field testing,
interoperability, and full implementation arrive as soon as possible.
• Four railroads have self-reported that they fully implemented an FRA-certified and interoperable PTC system
on all of their required main lines: the Port Authority Trans-Hudson (PATH), North County Transit District,
Portland & Western Railroad, and the Southern California Regional Rail Authority (Metrolink).
Cybersecurity:
Train Control and Communication’s research focus includes securing communication and ensuring authentication
of senders and receivers of PTC communication.
Positive Train Control (PTC) Research $5,972,763
The PTC research program conducts research to improve system safety and reduce railroad accidents. This is
accomplished through the research, development, and testing of modern digital technology to integrate command,
control, communications, and information systems for controlling train movements with safety, security, precision,
and efficiency. This system was mandated by the Rail Safety Improvement Act (RSIA) of 2008, to be deployed by
2015 on approximately 100,000 miles of high-density mainline tracks.
PTC relies on real-time wireless digital communication schemes between trains, control centers, and wayside
infrastructure to maintain up-to-date train positions, movement authority transmission/reception, and temporary
speed restrictions. Global positioning systems, inertial navigation systems, or radio frequency transponders are
used to track the movement and location of the trains. Databases and information processing equipment are also
used for various decision-making functions. By employing all these technologies, trains can be continuously
monitored to ensure they comply with the movement authorities and speed limits, resulting in the following
benefits:
(1) Prevent train-to-train collisions.

(2) Prevent over-speed derailments.
(3) Protect roadway workers.
(4) Ensure switch positions are correct for safe movement.
In addition, back office computer systems integrate data collected from PTC systems to update other IT systems,
like scheduling, to optimize train operation and management.

The Train Control and Communication program’s research improves 49 CFR Part 236 Subpart I Positive Train
Control Systems. PTC has the potential to provide large safety benefits to the railroad industry as well increase the
overall productivity of the rail network. PTC is designed to stop several human factor-type accidents from
occurring. Furthermore, research and investments into PTC technology have the potential to lay the groundwork
for the integration of autonomous systems within the railroad industry. Research into PTC technology not only has
the potential to help shape autonomous rail systems but also to improve PTC so that it can be implemented
cheaper and more effectively. This improvement will allow for railroads to voluntarily install the system, which
currently has the potential to be limited due to the high cost associated with implementation.
PTC Technology $2,522,763

This research addresses problems associated with PTC development, deployment, and long-term evolution and
maintenance. It supports the design and development of innovative systems to ensure PTC interoperability and
reliability.
• Design PTC-integrated work zone protection technologies.
• Railroad wireless spectrum use analysis and planning.
• Investigation of potential rail communication security enhancement techniques.
• PTC reliability and availability improvements.
• PTC automated braking performance improvement.
Expected Outcomes:
• Safer and more reliable PTC systems that contribute positively to railroad operational efficiencies.
PTC Interoperability $0
Interoperability is the requirement that all railroads have the ability to work anywhere on the North American
railroad network. If railroads are not interoperable, all rail traffic must stop and transition between carriers at
each individual railroad boundary. This would be extremely inefficient and costly.
Interoperability is a requirement of Rail Safety Improvement Act of 2008 (RSIA ’08), as all railroads must have the
ability to use the national network and transport goods and people on all lines. Multiple efforts are reviewed for
viability, including radiofrequency spectrum allocation, infrastructure enhancements and modifications, and
monitoring and analysis of the network. Interoperability will alleviate the regulatory burden requiring FRA to
check the interoperability between different railroads and will lead to the development of an automated system
that will ensure interoperability.
• Engage stakeholders to develop interoperability specifications, lifecycle management, verification of
interoperability between differing PTC systems, applications, and integration of products and processes into
the national PTC network.
Expected Outcomes:
• Produce publicly available, finalized technology specifications to encourage the private sector to further
develop and deploy. Since this will be an open standard; it will create a competitive marketplace, increasing
economic competition and workforce development.
• All railroads are expected to accept these developments for implementation at the earliest opportunity and
finalize any individual railroad requirements.

PTC Next Generation $2,850,000
This research will identify and develop the methods, facilities, equipment, and capabilities required for providing
ongoing industry PTC support. Research will focus on providing additional functionality, improving reliability, and
supporting integration with other technologies, all of which will support the objectives of improving safety and
throughput. Multiple areas of consideration are under review for potential development, including signaling,
communications, and infrastructure enhancements to reduce PTC burden and improve safety.
• Work with industry, vendor, and academic support to develop a spectrum of potential solutions, ranging from
improving conventional train control and management methods to developing and implementing an advanced
train control and management system architecture along with an associated migration plan.
Expected Outcomes:
• Improve the safety and capacity of the railroads with concepts such as moving block operations, automated
train movements, connected vehicles, and variants thereof. North American railroads are actively engaged in
the development and implementation of these cutting-edge technologies.
• It is anticipated that AAR and its member railroads will implement future technological advances upon
development for safety and efficiency enhancements.
Intelligent Transportation Systems (ITS) $600,000

Facilitate collaboration between railroads and automotive industry stakeholders to develop coordinated solutions
for automated transportation systems. Accelerated development of connected and autonomous road vehicles must
be mirrored by railroad investment in rail automation and highway-rail grade crossing technologies.
RD&T’s research of ITS improves 49 CFR Part 234 Grade Crossing Safety and Part 924 Highway Safety Improvement
Program. Most highway-grade crossing regulations, especially those pertaining to the interactions of highway
users, fall under FHWA or Federal Motor Carriers Safety Administration (FMCSA). The regulations that FRA puts
forth on highway-grade crossings, in general, pertain to the requirements that the railroads must maintain
regarding the safety devices and general upkeep of highway-rail grade crossings. However, as the auto industry is
pursuing autonomous vehicles, those vehicles will need to interact with highway-rail grade crossings and research
needs to be conducted. Odds are that the current highway-rail grade crossing safety system will need to be altered
to better communicate with autonomous vehicles so that the vehicles are “informed” of the position of the gates as
well as informed about oncoming trains. A potential benefit that could come from the inclusion of autonomous
vehicles at highway-rail grade crossings is the reduction of accidents caused by highway drivers moving around
safety devices or by highway drivers misjudging the distance of an oncoming train and continuing to move through
the crossing.
• Develop open standards and practices for automated rail operations and highway-rail grade crossing systems.
• Research innovative technologies important to rail ITS.
• Develop prototype and reference architectures.
• Support model deployments and evaluation of connected safety systems.
Expected Outcomes:
• Significant improvements in grade crossing safety and highway-rail transportation integration
• Coordinated deployment of automated vehicles and connected infrastructure systems

Grade Crossing Safety and Trespass Prevention $1,778,357
The Grade Crossing Safety and Trespass Prevention research program conducts research to improve system safety
and reduce railroad accidents and incidents at grade crossings. This is accomplished through the research,
development, and testing of safety technologies and providing trespassing countermeasures and best practices to
communities and stakeholders. Results of this research and development directly supports the development of
technology and safety standards to improve railroad operation safety as well as providing scientific research and
data to support FRA regulations and rulemaking.
RD&T’s Grade Crossing and Trespass Countermeasures research improves 49 CFR Part 234 Grade Crossing Safety.
FRA has some regulations that deal with trespassers on railroad property and has recently formulated a task force
to look into possible mitigation strategies to reduce the number of trespasser violations occurring each year. As it
is not economically feasible to surround the entire rail network with fencing, nor would that deter all trespassing
violations, a more cost-effective strategy needs to be developed. The task force will help to develop those
strategies.
FRA’s Grade Crossing and Trespassing Task Force is looking at identifying areas that have high concentrations of
trespassing and grade crossing violations and identifying what factors might be contributing to the high
occurrences. If any patterns in trespassing can be established, then there is a potential that the number of fatalities
in high-risk areas could be decreased through the use of pointed deterrence/prevention methods. The cost of
trespassing is not only the life of the trespasser but also the psychological effect on the engineer/conductor of the
locomotive who hit the trespasser as well as any delays that might ensue as the incident is investigated.
RD&T’s research of ITS improves 49 CFR Part 234 Grade Crossing Safety and Part 924 Highway Safety Improvement
Program. Most highway-grade crossing regulations, especially those pertaining to the interactions of highway
users, fall under FHWA or FMCSA. The regulations that FRA puts forth on highway-grade crossings, in general,
pertain to the requirements that the railroads must maintain regarding the safety devices and general upkeep of
highway-rail grade crossings. However, as the auto industry is pursuing autonomous vehicles, those vehicles will
need to interact with highway-rail grade crossings and research needs to be conducted. Odds are that the current
highway-rail grade crossing safety system will need to be altered to better communicate with autonomous vehicles
so that the vehicles are “informed” of the position of the gates as well as informed about oncoming trains. A
potential benefit that could come from the inclusion of autonomous vehicles at highway-rail grade crossings is the
reduction of accidents caused by highway drivers moving around safety devices or by highway drivers misjudging
the distance of an oncoming train and continuing to move through the crossing.
Trespass Countermeasures $0
Trespassing is the leading cause of accidents that happen on a railroad. The purpose of this research area is to
investigate and evaluate new technologies and their applications to mitigate the risk of accidents on railroad track
due to trespassing.
• Install, test, and evaluate augmented train horn in an operational railroad environment.
• Evaluate a trackside wireless detection net for pedestrian safety.
• Investigate the use of Artificial Intelligence (AI) that can be employed in detecting trespassers.
Expected Outcomes:
• New technologies and solutions are expected to be then evaluated, tested, and implemented in a railroad
environment leading to technology transfer and an increase in public safety.
Intelligent Transportation Systems $0
This work will help facilitate collaboration between railroads and automotive industry stakeholders to develop
coordinated solutions for automated transportation systems. Accelerated development of connected and
autonomous road vehicles must be mirrored by railroad investment in rail automation and highway-rail grade
crossing technologies.
• Develop open standards and practices for automated rail operations and highway-rail grade crossing systems.
• Research innovative technologies important to rail ITS.
• Develop prototype and reference architectures.
• Support model deployments and evaluation of connected safety systems.
Expected Outcomes:
• Significant improvements in grade crossing safety and highway-rail transportation integration
Grade Crossing Technology $1,105,000

This project will investigate, analyze, and test new technologies to improve public safety at grade crossings. Grade
crossings, along with public railway station platforms, are the locations where the railroad is most exposed to
interaction with other modes of transportation, as well as the public. Most accidents reported to FRA occur at
grade crossings.
• Evaluate the effectiveness on the drivers’ behavior of flashing lights installed on the surface of the pavement of
a roadway when approaching a railroad grade crossing.
• Evaluate how low-cost pavement markings at railroad grade crossings can effectively warn a driver not to stop
on the railroad tracks.
• Evaluate the effectiveness of LED-enhanced “Do Not Stop on Tracks” (R8-8) signs on reducing traffic queuing at
highway-rail grade crossings.
• Use AI algorithm (AIA)/machine learning capabilities to help identify potential collisions at grade crossings,
detect trespass events, and possibly prevent suicide attempts.
Expected Outcomes:
• Technology transfer and implementation by railroad carriers (in cooperation with state and local
governments) of products and practices evaluated under this research area.
Grade Crossing Pedestrian Safety $60,000

This research will evaluate the effectiveness of technologies and infrastructure improvements that can mitigate the
risk of accidents at grade crossings where pedestrians are involved.
• Evaluate the effectiveness of grade separations that can be either roadways with pedestrian paths—or
dedicated pedestrian underpasses or overpasses.
• Evaluate new types of pedestrian gates (known as “gate skirts”) that can aid in preventing pedestrians crossing
the tracks when a train is approaching.

Expected Outcomes:
• Recommendations to local and state governments for the planning and construction of grade separations.
Results from the evaluation of pedestrian treatments are expected to be considered by the railroads in
cooperation with local communities.
Grade Crossing Modeling and Simulation $170,000

This project will evaluate scenarios of possible safety improvements at grade crossings without the actual need to
perform field testing. Modeling consists of simulating traffic and pedestrian scenarios to understand what safety
improvements can be effective at a grade crossing. Traffic simulations will also be evaluated to understand several
implications that could result from a safety improvement.
• Understand the position of the Emergency Notification System (ENS) warning sign at grade crossings using the
grade crossing simulator.
• Improve GradeDec.Net, the FRA-developed highway-rail grade crossing investment analysis tool used to
identify the most cost-effective investments to improve safety and reduce highway congestion at grade
crossings.
Expected Outcomes:
• Continue improvements to GradeDec.Net, which helps users estimate the costs and benefits of grade crossing
investments by comparing the reduced costs of fatalities, injuries, and property damage from possible
incidents, reduced travel times, and reduced emissions to the construction costs.
Grade Crossing and Trespass Outreach and Education $443,357

This research will develop and disseminate educational tools to the public, including local and state governments,
law enforcement agencies, and schools, among others. The purpose of the tools is to provide awareness of the risk
of accidents that may occur at grade crossings when appropriate behavior is not observed.
• Provide support to a Law Enforcement Strategies for Reducing Trespassing Pilot Grant Program. Specifically,
the Grant Program will award up to $150,000 to law enforcement agencies with the purpose of understanding
the effectiveness of the presence of police officers along the railroad ROW to prevent trespassing activities.
• Disseminate rail ROW trespass prevention outreach materials. Also, conduct final tests on a mobile application
that was developed in FY18. The application will be used to educate high school students to the dangers of
grade crossings and trespassing.
• Objectives are to inform drivers about any violations at a grade crossing and provide an informative sheet on
the implications of violating a grade crossing warning system.
• Organize a workshop by mid-2019. This workshop will continue the collaboration effort among several
national and international stakeholders on trespass and suicide issues.
Expected Outcomes:
• Improved public safety through the further dissemination and reception of educational and training aids.
• Prove the effectiveness of deploying police officers along the railroad.
• Formation of an international working group on trespass prevention.

Senate of the U.S. The TCC program is funded with discretionary funds. The program meets the annual funding
appropriation act’s requirement to conduct train control and communications research. The TCC Research
program meets the FAST Act Section 11404 requirement to evaluate the potential of Positive Train Control to
improve safety at grade crossings.
This program supports DOT’s Safety and Innovation strategic goals by developing and helping to deploy innovative
technologies to improve railroad operation safety and efficiency, affecting all communities. Technology helps
improve rail services of moving people and goods, which has a significant positive impact on the U.S. economy as a
whole and rural communities’ accessibility to participate in economic activities. This program also supports the
Accountability goal in its role in reducing regulatory burden.

Historically, “rural community impact” has not been a criterion for measuring the TCC Division’s research and
development portfolio. The TCC Division will develop metrics for assessing the impact of its research on rural
communities. The following shows how each TCC research area aligns to DOT goals and impacts rural
communities.
PTC research aligns with DOT Strategic Goal of Safety by creating more reliable and effective PTC safety systems.
FRA’s research increases the timeliness and efficiency of communications between interoperable railroads. PTC’s
safety goals include increasing the safety at highway-rail grade crossings to reduce the incidents and fatalities that
occur yearly. PTC research also aligns secondarily to the DOT Strategic Goal of Innovation. Automation systems
operation and performance are a large part of FRA’s research program to increase the efficiency of PTC. FRA is
leading the industry to facilitate the development of a PTC system that meets regulatory requirements and
provides operational benefit to railroads. As part of this effort, TCC is working with FRA RRS to reduce the
regulatory burden as part of the DOT Strategic Goal of Accountability.
GX and trespasser research aligns with DOT Strategic Goal of Safety. The main goal of this research is to reduce the
number of incidents on the railroads at grade crossings. Work in this area also meets secondary DOT Strategic
Goals of Innovation and Infrastructure. TCC trespassing and GX research tests and implements new methods to
warn the public of the presence of trains and recognizing trespassers with the aid of AI. Many incidents occur at
highway-rail grade crossings in rural communities resulting in loss of life or property. This program strives to
mitigate those impacts.

Program Objectives:
FRA’s TCC Research program is aimed at reducing train-to-train collisions and train collisions with objects on the
line and at grade crossings. Each research area has its own goals and issues it is trying to solve.
PTC Technology - The goal is to assist railroads in meeting the Congressional mandate for PTC while maintaining safe
and efficient rail operations. As a critical safety system, PTC must be highly reliable, interoperable, and secure. The
government must work with U.S. railroads to ensure the requirements of RSIA ‘08 are satisfied while maintaining
the value of this critical national transportation system.
PTC Interoperability - The goal of this research area is to work with railroads to define standards for
interoperability between the North American railroads. Interoperability is a requirement of RSIA ’08, as all
railroads must have the ability to use the national network and transport goods and people on all lines. FRA, in
conjunction with multiple revenue service railroads, has taken the initiative to develop the initial infrastructure of
an interoperability system between differing versions of PTC between railroads.
PTC Next Generation - If PTC technology is not improved, it is safe to assume that inefficiencies will continue to
cripple capacity, which will in turn increase the cost of shipping people, goods, and services throughout the
network. Future train control must improve capacity and maintain safe rail operations through innovative
technological advances. There are multiple concepts that need to be explored, developed, and tested to determine
if they are viable for implementation into revenue railroad service.
To achieve the intended safety benefits, the PTC system must maintain a high level of availability. Additionally,
because PTC can slow and stop trains, it is critical to keep the system running smoothly and dependably, to avoid
delays and disruptions to the flow of the nation's critical railroad traffic. The best possible tools and methods are
needed so that system problems can be anticipated and prevented or else quickly detected, diagnosed, and fixed
before they have a significant impact on safety and traffic flow.
Intelligent Transportation Systems - This program aims to facilitate stakeholder coordination and invest in
technology development to keep rail on pace with highway vehicle connectivity and automation. The market
failure that may occur is the broad deployment of automated highway vehicles (i.e., cars and trucks) that may not
be able to safely negotiate all types of highway-rail grade crossings.
Trespass Countermeasures - More than 70% of casualties on a railroad are due to trespass activities on railroad
property. The goal of this research area is to develop, test, and validate methods and means to reduce the number
of casualties. Without this research, the number of accidents on railroad property due to trespass will likely not
decrease.
Grade Crossing Technology - The mission of the railroads is to operate a failsafe system. FRA’s mission is to assist
the railroads in providing a safe environment. One of the weakest areas in a railroad environment are grade
crossings. This is where most accidents involving injuries and deaths occur. Technologies developed in this
research area provide ways and tools to decrease this weakness.
Grade Crossing Pedestrian Safety - When a grade crossing warning device activates, vehicles and pedestrians
sometimes try to go around the gates or “beat the train.” This research area’s objective is to develop and test
solutions that help prevent pedestrians from crossing the tracks in the presence of a moving train, leading to fewer
incidents and accidents.

Grade Crossing Modeling and Simulation - Simulation and modeling offer a non-invasive and non-destructive
method to predict traffic trends and accident reduction in a controlled environment. Often, a new solution cannot
be tested and evaluated in the real world, as it may result in excessive investments. This helps mitigate those costs.
Grade Crossing and Trespass Outreach and Education - Education and awareness are the best tools to have the
public understand and be aware of the risks involved when near a railroad property. Increasing education will help
decrease incidents and accidents.
The research and development activities accomplished in the TCC research program are in partnership with
government and non-government groups to target the research to solve rail transportation safety issues and needs.
These partnerships benefit from technical and financial collaboration for a more efficient and effective research
program. Multiple railroads are contributing in-kind support of the development of requirements, testing, and
providing technical guidance and intellectual resources. In-kind support of non-governmental agencies can
contribute 20% or more of a project’s value when considering hourly wages, travel, and overhead.
Stakeholder input is a critical driver of TCC’s research planning. The following is a list of contributors that help
drive TCC’s research:
• Periodic evaluation by a special committee of the TRB
• Coordination with the AAR research program through the AAR’s Train Control, Communications and
Operations Committee
• Program staff participation in the FRA’s RSAC meetings
• Program staff presentation of research results for peer review at industry meetings and in technical journals
Partner Detail
Engineers and scientists at the
Volpe National Transportation Volpe Center conducted R&D for
Access to subject matter expertise
Systems Center FRA on grade crossing safety and
trespass prevention.
FRA collaborates with these
Stronger products through engagement with
FHWA partners on intelligent
highway and automaker stakeholders
transportation systems research.
Federal Motor Carriers Safety Stronger products through engagement with
partners on intelligent
Administration (FMCSA) freight and trucking stakeholders
Intelligent Transportation
partners on intelligent Coordinated multimodal development
Systems – Joint Program Office
Rail industry coordination and Enhanced technology transfer success. Solutions
AAR project advisory group support; that integrate seamlessly with railroad
subject matter expertise. operations.
System software development and Enhanced technology transfer success. Solutions
BNSF supplier contracts; field test data that integrate seamlessly with railroad
and subject matter expertise. operations.
Solutions that integrate seamlessly with railroad
Norfolk Southern Subject matter expertise
operations; enhanced technology transfer success

Enhanced technology transfer success. Solutions
Field test data and subject matter
Union Pacific that integrate seamlessly with railroad
expertise
operations.
CSX Subject matter expertise that integrate seamlessly with railroad
operations.
Amtrak that integrate seamlessly with railroad
expertise
operations.
Alaska Railroad Subject matter expertise that integrate seamlessly with railroad
operations.
Kansas City Southern Subject matter expertise that integrate seamlessly with railroad
operations.
Canadian National Subject matter expertise that integrate seamlessly with railroad
operations.
I-ETMS system development and
Wabtec Railway Electronics insight; subject matter expertise; Better product deploy ability
modifications to braking algorithm
PTC 220MHz radio design and
Meteorcomm testing data; subject matter Better product deploy ability
expertise
Metrolink Better product deploy ability
expertise
Sound Transit Better product deploy ability
expertise
Metra Better product deploy ability
expertise
North County Transit Better product deploy ability
expertise
Right of way access; subject matter
FarmRail that integrate seamlessly with railroad
expertise
operations.
OKDOT Subject matter expertise Better product deploy ability
MTA Subject matter expertise Better product deploy ability
Town of Bedford, NY Subject matter expertise Better product deploy ability
Town of Belmont, MA Subject matter expertise Better product deploy ability
Massachusetts Bay Enhanced technology transfer success. Solutions
Right of way access; subject matter
Transportation Authority that integrate seamlessly with railroad
expertise
(MBTA) operations.
Police Department facilities; subject
Brunswick Police Department Better product deploy ability
matter expertise
Software development; subject
Monarch Media Better product deploy ability
matter expertise
ROW access; subject matter
PanAm Railways that integrate seamlessly with railroad
expertise
operations.
City of Orlando Cameras and instillation Better product deploy ability

ROW access; subject matter
SunRail that integrate seamlessly with railroad
expertise
operations.
Benefits Detail
FRA RRS Improved safety regulations and innovative solutions
Large Railroads Reduced PTC operational impact, workforce health & safety, specialized test facilities.
Efficiency, increased safety, infrastructure development, reduced regulatory burden.
Roadway worker protection
Small Railroads Reduced cost of PTC deployment and maintenance. Efficiency, increased safety,
infrastructure development, reduced regulatory burden. Roadway worker protection
American Public Increased safety, improved transportation infrastructure, economic benefit, fewer
accidents, reduced congestion and fuel related environmental impacts
Universities Publicly available research and data sets
SunRail Innovative solutions, increased safety
Metropolitan Transportation Innovative solutions, increased safety
Authority (MTA)
MBTA Innovative solutions, increased safety
Oklahoma Department of Innovative solutions, increased safety
Transportation (OKDOT)
Town of Belmont, MA Innovative solutions, increased safety
Town of Bedford, NY Innovative solutions, increased safety
PanAm Railway Innovative solutions, increased safety
Town of Brunswick Innovative solutions, increased safety
City of Orlando Innovative solutions, increased safety
Highway motorists Reduced delay and accident risk
Long-distance and short haul Reduced travel time and supply chain logistics costs
trucks
FHWA Innovative solutions, increased safety
Local communities Innovative solutions, increased safety
FTA Innovative solutions, increased safety
State DOTs Innovative solutions, increased safety
Labor Organizations Increased Safety of employees
Railroad workers Increased on track worker safety
The TCC program establishes research priorities and defines its acquisition plan considering internal and external
priorities, aligning priorities with DOT, FRA, RPD, and RD&T goals for the upcoming fiscal year. The TCC program
utilizes a competitive procurement process as often as possible.
The TCC program works with the FRA Office of Acquisitions to initiate various funding vehicles, for both single-
year and multi-year contracts across the division, including:

• Sole source

The TCC program benefits from in-kind contributions (e.g., subject matter expertise, track time, data sharing, and
equipment) from its collaboration partners. A list of these partners, the contributions they make to the TCC
program’s projects, and how that benefits FRA can be found in the next section. These contributions are not only
desirable for their inherent value but also guide our researchers to develop practical technology that will function
well in practice.
The TCC program works closely with stakeholders throughout the R&D life cycle and the T2 life cycle to increase
user adoption of research products/services. PMs work with internal (e.g., RRS, other OAs) and external
stakeholders (e.g., Class I and short line railroads, labor unions, equipment manufacturers, state DOTs) to
contribute to the safe transportation of goods and passengers across America’s railroads. The TCC program also
publishes Technical Reports and Research Results in the FRA eLibrary, which are available to the American public.
PMs also present their research at numerous industry meetings both nationally and internationally.
The TCC program area measures project performance by how it does in advancing the technology and how
effective the technology is in addressing or solving the particular need for which the research is done. Also,
adoption and commercialization are other metrics used to measure program performance. TCC’s aim in partnering
with stakeholders in developing new safety technologies is to ensure adaption, as technologies that are not
embraced and adopted by the railroad industry are not worth pursuing.
Beneficiary Benefit(s) Received Safety, Strategic, or Project Goal Addressed

Large Railroads Reduced PTC operational impact, workforce Roadway worker protection
health & safety, specialized test facilities
Small Railroads Reduced cost of PTC deployment and Roadway worker protection
maintenance
American Public Increased safety, improved transportation Public safety, state of good repair
infrastructure, economic benefit, fewer
accidents
Academia Publicly available research and datasets Public safety, infrastructure, workforce development
Evaluation / Performance Measurement:
The RD&T program supports evaluation on behalf of all divisions. The TCC program participates in these external
project evaluations that help all divisions improve performance and increase ROI of government funding. In
addition, the TCC program uses the Technical Advisory Group (TAG) to make sure research progress is on the right
path, and to clear any obstacles.

The TCC program participated in the TRB’s evaluation, focusing on research projects, communication, stakeholder
engagement, strategic planning, priority setting, and evaluation. TCC program PMs participated in this year’s
project evaluation training aimed at providing a basic evaluation skillset for each RD&T PM.
In 2019, the TCC program will work with other RD&T divisions to implement internal processes to improve FRA’s
Evaluation/Performance Measurement section.
will establish baseline metrics using data from FY18 TO track performance against the Innovation performance
measure progress:

Human Factors Research
FRA’s Human Factors (HF) Research program aims to reduce railroad accidents caused by human error. The HF
Division conducts research and development activities related to safe rail operations and the safe integration of
people with technology. Areas of research within the HF division include rail trespass and suicide prevention;
technology, automation, and systems design; fatigue; project evaluation; highway-rail grade crossing; and support
of the Short Line Safety Institute (SLSI).
FRA RD&T takes a non-regulatory approach to human factors for safety and efficiency in the railroad industry. By
implementing established research practices and education-oriented guidance/tools for the rail industry, attention
to human factors is encouraged rather than regulated.
Human Factors’ Research supports the Office of Railroad Safety. RD&T’s Grade Crossing and Trespass
Countermeasures research improves 49 CFR Part 234 Grade Crossing Safety. FRA has regulations that apply to
trespassers on railroad property and has recently formulated a task force to consider possible mitigation strategies
to reduce the number of trespasser violations that occur each year.
FRA’s Grade Crossing and Trespassing Task Force is looking at identifying areas that have high concentrations of
trespassing and grade crossing violations and seeing what factors might be contributing to the high frequency. If
any patterns in trespassing can be established, then there is a potential that the number of fatalities in high-risk
areas could be decreased through the use of pointed deterrence/prevention methods. The cost of trespassing is not
only the life of the trespasser but also the psychological effect on the engineer/conductor of the locomotive who hit
the trespasser as well as any delays that might ensue as the incident is investigated.
Human Factors Research also improves 49 CFR Parts 228 Hours of Service of Railroad Employees and 270 System
Safety Program, which address short line safety and fatigue issues. Human Factors’ work in both areas improves
safety culture to reduce incidents and fatalities.
The Human Factors Research program is collaborating with the Office of Railroad Safety to consider performance-
based regulations to improve safety culture within the railroad industry. One of the programs RD&T is reviewing is
a successful Federal Aviation Administration (FAA) program. FAA’s Aviation Safety Information Analysis and
Sharing (ASIAS) system promotes the exchange of safety information to continuously improve safety. The program
connects approximately 185 data and information sources (including commercial air carriers, general aviation
operators, manufactures, and maintenance organizations) across government and industry, including voluntarily
provided safety data. RD&T is reviewing the program and meeting with stakeholders (e.g., AAR, ASLRRA, Amtrak,
labor unions) to determine whether and how FRA can implement a similar program.
The Human Factors Research program is collaborating with the Rolling Stock research program to investigate the
safety of very long trains (VLTs). Railroads use VLTs to enhance economic competitiveness through the better use
of fuel, locomotive power utilization, and additional rail cars—without adding extra crew. As part of this research,
HF will be advising the research of human factors issues that may be associated with the operation and handling of
VLTs.
Rail Trespass and Suicide Prevention $370,000

This research seeks to better understand the two leading causes of rail-related death in the U.S. Hundreds of
people lose their lives every year on train tracks due to trespassing or suicide.
• Conduct pilot studies with rail carriers implementing strategies to mitigate trespass and suicide.
• Evaluate the effectiveness of these strategies and disseminate the results in the FRA eLibrary.
• Use geographic information system (GIS) mapping capabilities to work with stakeholders to understand their
trespass/suicide problem and create an internal database to map suicide and trespass casualties.
• Conduct and sponsor a trespass research needs workshop to solicit ideas on prospective new or expanded
initiatives, strategies, and research projects.
Expected Outcomes:
• Improve understanding of the causal factors behind why individuals contemplating suicide consider this
method to end their lives.
• Identify countermeasures to prevent accidents attributable to trespassing and suicide.
• Identify and plan new efforts to support FRA rail trespass and suicide prevention.
• Track media reports of suicide and trespass incidents on ROWs.
• Better understanding of how to improve cause of death determinations for rail fatalities.
Automation, Operating Personnel Information Management, and Control $800,750

HF wants to help ensure that the rail industry moves from a manual, analog operating environment to a more
automated digital environment, where automation is designed and implemented in a manner that:
• Utilizes a systematic, organization-wide approach to implementing new technologies and modernizing existing
systems for safe and efficient use by operating personnel
• Does not degrade safety by introducing new forms of error with its use
Poorly designed and implemented automated systems have been causal or contributing to many major accidents
across transportation modes, particularly in aviation.
HF addresses the prudent integration of people with automation technology by conducting research on automation
and manpower, personnel, human factors engineering, safety, and training. These are the primary aspects where
automation intersects with human behavior and human operational requirements. Application of research results
in this area by the industry will yield better performing human-machine collaborative systems.
• Display prototype development and preparation for simulator study (approximately 30 participants).
• Develop the algorithm for the classification of different fatigue states (includes machine learning).
• Prototype the heads-up display (HUD), integrating the HUD into Cab Technology Integration Laboratory (CTIL)
designing experiments, and prepare for the study in CTIL.
Expected Outcomes:

• Produce a concept to inform design of future locomotive control systems for inexperienced operators and
increasing levels of automation. This is important to reducing human error by new and inexperienced
operators.
• Develop machine-learning capability to determine operator state of fatigue.
• Develop a prototype ready for a CTIL human in the loop study (approximately 8 participants).
Fatigue $385,728.98
This project provides tools for fatigue monitoring that detect sleep-deprived operators and then “safe” the system,
understand workload factors and their contribution to fatigue, and create fatigue prediction models to help
personnel work scheduling to significantly reduce the number of fatigue-related accidents and incidents.
Across transportation modes, the requirement for around-the-clock operations and maintenance of safe and
efficient operations is taxing on limited operating personnel. Errors and accidents caused by operating personnel
fatigue continue to occur, amounting in significant loss of life and property. Fatigue brought on by sleep apnea and
other medical and lifestyle issues complicate this potential risk factor.
• Collect background information on contributing factors to fatigue and the impact these factors have on
locomotive crew commute performance and safety will be documented and summarized.
Expected Outcomes:
• The information produced by the literature review will be used to identify existing gaps in research,
particularly related to the railroad industry, that need to be assessed and targeted by a survey.
Project Evaluation $252,000

Project evaluations of government-funded research projects use rigorous methods to assess the extent to which,
and ways, programs goals are met. Project evaluations tell what is working and why, or why not. It is necessary to
study or evaluate the effects of safety interventions and technology in the scheme of overall safety programs to
determine if implemented solutions are making a difference in railroad safety.
• Conduct formative and summative evaluation activities for SLSI. Activities include: a systematic review of all
assessment reports to identify safety trends across Class II and Class III railroads, a formative evaluation of the
follow-up safety culture assessment process, and a summative evaluation of SLSI’s Implementation Phase for
2016-2017.
• Disseminate and analyze results from a needs assessment survey about railroad workers’ preferred methods of
receiving information, including the technologies they use to access information.
• Survey results will inform the development of safety education programs (e.g., online safety courses), and can
be utilized to improve communication of safety information to railroad workers.
Expected Outcomes:
GPRA and the GPRA Modernization Act of 2010 require federal agencies to assess the manner and extent to which
their programs achieve intended objectives. Consistent with the GPRA directive, FRA RD&T conducts project
evaluations to:
• Meet FRA RD&T accountability requirements.
• Guide and strengthen FRA RD&T programs.
• Facilitate knowledge diffusion and technology transfer.

• Obtain input, feedback, and data regarding industry and government-supported programs.
• Build FRA RD&T evaluation capacity.
• Contribute to improving railroad safety.
Highway-Rail Grade Crossing $713,171.02

This research studies GX to understand the underlying causes and human behaviors that result in pedestrians and
vehicles being struck by oncoming trains at grade crossings. Driver behavior accounts for up to 94 percent of
vehicle crossing accidents for the U.S. railroad system. Thus, efforts to decrease human errors are critical.
It is an FRA goal and priority to significantly improve grade crossing safety and reduce grade crossing accident
frequencies. The HF division will conduct technical research and apply innovative technologies, study accident
statistics and occurrences, and sponsor industry conferences and workshops to determine top research needs.
Enforcement alone is not effective. Research in technology, infrastructure, grade crossing environments, and other
areas is necessary to improve grade crossing safety and reduce grade crossing accident frequencies.
• Examine the extent to which drivers understand Emergency Notification System signs at grade crossings, and
determine whether orientation (i.e., horizontal or vertical) affects the signs’ visibility.
• Use a driving simulator to examine the effects of in-vehicle auditory alerts on driver behaviors at grade
crossings.
Expected Outcomes:
• Better understand the causal factors behind why individuals violate warning signals at grade crossings.
• Reduce safety risk by reducing both the likelihood of accidents occurring and the consequence should they
occur.
• Develop grade crossing technology that considers human behavior in its design and minimizes the potential for
human errors.
Short Line Safety Institute $2,500,000*

HF provides program monitoring of and support for SLSI. Since FY15, FRA RD&T has received $2 million from
Congress specifically for SLSI. Since FY 2014, FRA has partnered with SLSI to develop, pilot test, and implement an
innovative safety culture assessment process. Recommendations resulting from the safety culture assessment
process have provided Class II and III railroads—small railroads with limited resources to support safety training
and education—with information and actionable processes that can be implemented to operate at an increasingly
high level of safety.
Small railroads do not have the resources (i.e., budget or personnel) to conduct these activities on their own. SLSI
serves all Class II and Class III railroads, not just railroads that are members of the ASLRRA.
*This funding is an earmark grant provided annually by Congress for the Short Line Safety Institute. This is in
addition to the total budget for FRA RD&T. If Congress chooses NOT to fund the $2M earmark, this activity will not
be executed in 2019.
• Conduct no-cost safety culture assessments on Class II and Class III railroads.
• Develop and pilot test a follow-up process to measure safety culture shift.

• Provide no-cost training and education to Class II and Class III railroads on the topics of safety and safety
culture.
• Develop and disseminate outreach/safety communications materials that railroads can use onsite with
employees.
Expected Outcomes:
• SLSI helps small railroads operate more safely by assessing safety culture, recommending how to improve it,
and providing leadership, training, and education about safety culture.
• SLSI’s goals are to reduce the risk of accidents and incidents in the short line and regional railroad industry by
improving safety and safety culture.
Vigilance, Attention, and Distraction $50,000

The goal of this research project is to understand ways to improve factors that affect vigilance and sustained
attention. Research in this area includes conducting studies to learn more about cognitive and behavioral elements
that affect human sustained attention and vigilance. Railroad operation requires operators to manage and
understand information provided by multiple systems while keeping an eye on track and signals. The problems
this research is solving include:
• Loss of operator focus and distraction
• Accidents caused by human error
This project would also address a priority of OST-R, as noted in the updated Strategic Plan (pages 10-11).
• Collaborate with industry to research roadway worker fatalities related to adjacent track and train approach
warnings.
Expected Outcomes:
• Reduce accidents caused by distraction.
• Improve operator decision making and performance.

All RD&T divisions support the Office of Railroad Safety (RRS) by providing subject matter expertise consultation,
research, data, and tools to improve railroad safety and reduce accidents and incidents. RRS works closely with
RD&T to provide insight into research needs throughout the fiscal year. RD&T needs the ability to support requests
for research and expertise for time sensitive safety issues. RD&T plans to support the following RRS requested
initiatives:
• Railroad Information Sharing Environment (RISE) developmental evaluation support
• Partner with RRS and industry on RISE.
• Conduct research of urgent safety issues.
• Provide SME support to RRS.
Expected Outcomes:
• Establish and implement of a program similar to Federal Aviation Administration’s Aviation Safety Information
Analysis and Sharing (ASIAS) at FRA.

• Analyze safety risks and identify mitigations to those risks.
Note: This funding will come from multiple divisions to support their research. The Human Factors division is
planning on funding approximately $850K for initiatives supporting the Office of Railroad Safety.
Public, Private, and University Cooperative Research Agreement $720,350 (Totaling $2 million from all divisions)
The rail Human Factors Research program is not statutorily mandated as it is for the aviation mode through the
Federal Aviation Administration. FY 2018 bill language in reference House Report 115-237 and the Senate Report
115-138 address specific human factors research areas related to the development of next generation (NexGen)
and other system development programs. Though not mandated, FRA, as the result of major accident
investigations, recognizes the importance of human factors to safety and seeks to research and apply solutions to
reduce the risk of more accidents where human factors have a causal or contributing role. FRA foresight about the
potential for human factors-related accidents is key to good safety management and an extremely important
element of any systems safety management plan.
Class II and Class III (short line) safety is statutorily mandated by the budgets, approved by the President, Congress
and Senate. The HF research program manages the SLSI funding in collaboration with SLSI and ASLRRA. The
project and outcomes were defined in the Program Activities section of HF.
The HF research program aligns with the DOT Strategic Goal Safety and the DOT Critical Transportation Topic
Promoting Safety. Successful execution of FRA’s mission requires research and development activities aimed at
improving railroad safety, efficiency, security, and capacity. Human errors account for more than one-third of all
train accidents in the U.S. railroad industry. Data does not allow causal linkages between FRA’s HF research
program and accident/incident reduction. However, if human factors continue to be a common probable cause of
rail accidents, FRA must continue to investigate new technologies and programs that help reduce human error and
improve safety in the industry.
The division provides direction to the rail industry on a spectrum of safety issues that are rooted in human
behavior and human performance (e.g., distraction, failure to perform correct procedure, design-induced human
error, and error due to workload). Approximately 38 percent of rail accidents and incidents include human factors
as a causal or contributing factor.
The HF research program is also vital in helping to meet DOT strategy to collaborate with stakeholders to improve
safety, as evidenced by the Confidential Close Call Reporting system (C3RS). The Human Factors division
conceived, initiated, developed, and pilot-tested the program before transitioning it to FRA RRS for industry
implementation.
HF’s automation research program is cited in the DOT Strategic Plan as an example of a contributing program and
initiative to conduct research on advanced technology to promote transportation safety and efficiency. HF’s
automation research is conducted to improve human reliability and reduce human error when automated
technology is inserted into the rail network. The division invests in research and development activities to inform
the safe integration of people with technology, particularly as the implementation of automated systems gains
traction in the rail domain. Investment in human factors rail automation will enable more scientific and
technological innovation to occur which in turn will promote safer operations, economically better-performing
railroads, and economic growth.

The HF division has an impact on rural communities, most notably through the following project areas: Grade
Crossing Safety, Trespasser and Suicide Prevention, and SLSI. The HF division expects that its research on the
underlying causes and circumstances of accidents and incidents will have a positive impact on reducing the
accident and incident rates in rural areas. This information, in turn, will help FRA decide the appropriate measures
to take to improve safety.
In 2015, passive grade crossings (i.e., crossings that indicate to a roadway user that there is a crossing, but do not
indicate whether a train is approaching) comprised 46 percent of all grade crossings in the U.S. Generally, passive
crossings and lower traffic volumes are prevalent in rural areas. Passive crossings are almost 10 times more risky
than active crossings. Therefore, grade crossing research, especially grade crossing research focused on passive
crossings, affects rural communities. 7
The vast majority of trespassing accidents occurred in counties with low population densities—counties that are
mostly rural. 8 Rural areas are also a common characteristic of the majority of rail trespass fatalities involving
intoxicated individuals, individuals riding all-terrain vehicles along the ROW, and individuals using a handheld
device prior to the strike. The continued investment in HF’s trespass and suicide prevention research will affect
rural communities as safety resolutions are developed and implemented.
The SLSI helps Class II and Class III railroads perform at an increasingly high level of safety in the rural areas
where they operate. Safe operations on Class II and Class III railroads have a number of public benefits. By
reducing traffic on highways and rural roads, these small railroads reduce public maintenance costs, while
mitigating congestion and emissions and conserving fuel. Rail transportation is also less risky than highway
transportation, and FRA-funded programs like SLSI are helping to ensure this continues. For large areas of rural
America, Class II and Class III railroads are the only way shippers can stay connected to the national network,
helping businesses and employment stay local.
Since FY14, SLSI has conducted 45 safety culture assessments on Class II and Class III railroads, reaching 4,282
railroad employees. SLSI plans to conduct 24 safety culture assessments in 2018. Over 3,300 railroad employees
have participated in SLSI’s training programs and webinars
Historically, “rural community impact” has not been a criterion for measuring the HF Division’s research and
development portfolio. The Human Factors Division will develop metrics for assessing the impact of its research on
rural communities.
Program Objectives:
7 Data Analysis of Grade Crossing Incidents. Accessed at https://www.fra.dot.gov/eLib/details/L01325 on March 23, 2018.
8
Trespass Event Risk Factors. Accessed at https://www.fra.dot.gov/eLib/details/L16047 on March 22, 2018.
The HF division’s research program is focused on improving railroad safety and reducing rail accidents caused by
human error. Research in the following areas provides specific examples of the main goal or problem the Human
Factors division is trying to solve.
Highway-Rail Grade Crossing: Driver behavior accounts for up to 94 percent of accidents at highway-rail grade
crossings, and grade crossing accident rates have plateaued over recent years. In 2016, 2,031 at-rail-crossing
incidents were reported, leading to 296 fatalities and 809 injuries. Thus, efforts to decrease human error at grade
crossings are critical.
Railroad Trespass and Suicide Prevention: HF research solves the two leading causes of rail-related death in the U.S.:
trespass and suicide. Suicide was not historically considered alongside efforts to decrease trespassing and grade
crossing deaths. Hundreds of people lose their lives every year on train tracks due to trespassing or suicide. FRA is
trying to identify and study the causal factors that lead to trespassing incidents on railroad property.
Fatigue: The Human Factors division is addressing one of NTSB's Most Wanted List problems by trying to solve
fatigue-related issues. 9 Employees in the railroad industry are susceptible to the risk of injury and property
damage caused by human fatigue and loss of attentiveness due to around-the-clock operations. HF seeks to develop
interventions and solutions to mitigate the effect of irregular work hours, long shifts, and the unpredictability of
on-duty times associated with the U.S. rail industry.
Automation, Operating Personnel Information Management, and Control: Automation is increasingly important as
the rail industry moves to increase the level of automation in rail systems to enhance safety and efficiency. A top
priority mandated by Congress is the implementation of PTC. FRA will assist with this process by providing
guidance, education, and technical demonstration through its research efforts. Additional research to assess new
concepts for the human-machine interface in locomotives and other systems will also be undertaken as resources
allow, so that the industry may address crew distraction and situation awareness issues.
Short Line Safety Institute: The HF division’s support of SLSI addresses a Congressional directive for FRA to help
Class II and Class III railroads improve safety and safety culture. Research and experience show that when safety
culture is strong, accidents are less frequent and less severe. 10 FRA rules and requirements are the bare minimum
for achieving safe operations. To conduct a fully safe rail operation, each railroad needs to improve safety culture.
Project Evaluation: Conducting project evaluations is a prudent business practice. Employing improvement-
oriented project evaluation is the essence of professional service and responsibility. Moreover, the sound
evaluation of government-funded research helps ensure program success and holds contractors conducting
government-funded research accountable for efficient and effective use of resources to serve the public good.
Across the rail industry there is a distinct lack of attention to human and human factors requirements in design
and development to improve safety and efficiency. Failure to include human factors requirements in the systems
development of new technology, for example, will result in railroads acquiring more risk-prone systems. The HF
research program attempts to fill the gap in attention to human factors by providing the rail industry with
9NTSB’s 2017-2018 “Most Wanted” list: https://www.ntsb.gov/safety/mwl/Pages/default.aspx

Safety Culture: A Significant Influence on Safety in Transportation. Accessed at https://www.fra.dot.gov/eLib/details/L18784 on
10
March 23, 2018.

education, guidance, and technology across four project areas: automation, operator performance (fatigue),
sponsorship and development of SLSI, and project evaluation.
Human Factors rail research should be funded by the government to ensure that results are shared across the
industry and with other industry modes of transportation addressing the same human factors issues in their
respective modal industries. Researchers contracted by FRA independently conduct research according to the
scientific method, which ensures high quality and lack of bias.
The American public’s and stakeholders’ input is critical for the HF division to execute its research programs.
While no metrics are used in tracking input, HF PMs work with stakeholder groups to address the needs of the
various groups. Stakeholders for the division include rail carriers, labor unions, trade groups, and nonprofit
organizations, which provide:
• Data for analysis
• Feedback on the feasibility of technology transfer (i.e., implementing a research project that, through a project
evaluation, FRA demonstrated to be effective on a wide-scale basis)
• Subject matter expertise and feedback on project evaluation findings
Stakeholder input has impacted research and research outcomes:

• Railroaders’ Guide to Healthy Sleep website (https://www.railroadersleep.org/) was developed specifically for
stakeholders in the railroad industry. This website provides scientifically credible information about sleep and
wellness specific to the needs of railroaders.
o A project evaluation demonstrated that the website’s information is effective at reaching the target
audience of railroaders.
o A Stakeholder Review Panel, comprised of representatives from labor, industry, and trade organizations,
reviews all content produced on the website.
• FRA RD&T (HF and TCC divisions) sponsor the Trespassing and Grade Crossing Research Needs workshops
every 2 years. Attendees are trespass and grade crossing experts from industry, universities, and state and
local government. These workshops provide an opportunity for industry stakeholders to gather and discuss
needs, issues, concerns, and priorities. FRA is able to share research findings to help support adoption activities
and gain insight into research needs to begin T2 and acquisition planning.
o At the 2017 Grade Crossing Research Needs Workshop, 11 FRA committed to implementing the high-priority
research needs that stakeholders identified in this workshop.
o FRA sponsored a Trespass Prevention Research Needs Workshop in 2015 and anticipates holding another
Trespass Prevention Research Needs Workshop in fall 2019.
11A summary of the 2015 Trespass Prevention Workshop proceedings is in 2015 Right-of-Way Fatality and Trespass
Prevention Workshop. Accessed at https://www.fra.dot.gov/eLib/details/L18704 on April 2, 2018. A summary of the 2017
Grade Crossing Research Needs Workshop published eLibrary DOT/FRA/ORD-19-05.

Partner Detail
DOT Human Factors Share Human Factors As noted in the U.S. Department of
Coordinating Committee research/information with each Transportation Strategic Plan for FY 2018-2022
(HFCC) DOT mode. (p. 34), the DOT HFCC “serves as a collaborative,
multimodal team with Federal Government-wide
liaisons to address crosscutting human factors
issues in transportation.” The HFCC includes
representatives from every DOT OA with a
human factors program.
An engineering psychologist from FRA RD&T is
the Chair of the HFCC for 2018-2020.
DOT Safety Council HF provides financial support to the As mentioned in the U.S. Department of
DOT Safety Council. Transportation Strategic Plan for FY 2018-2022
(p. 16), the DOT Safety Council provides
leadership and establishes a departmental
commitment to improving transportation safety
through improved safety culture. The DOT Safety
Council is composed of the heads of each DOT
operating administration, their senior safety
officers, and senior officials from the Office of the
Secretary (OST).
FRA RRS Subject matter expertise, HF PMs work closely with their counterparts in
collaboration, and FRA RRS.
recommendations As a primary customer, FRA RRS’s research
needs and priorities helps shape the division’s
research plan.
FRA RRS’s Grade Crossing Task Subject matter expertise, HF PM is a member of FRA RRS’s Grade Crossing
Force collaboration, and Task Force.
recommendations
TCC (RPD-33) Collaboration, subject matter Work closely with TCC PMs, conduct jointly
expertise, stakeholder engagement sponsored research projects. HF and TCC
provide an engineering and human factors
approach to GX and trespassing research.
Union Pacific (UP) Subject matter expertise, Stakeholder engagement/understanding of

collaboration, data, and human error situations
recommendations
Metra Subject matter expertise, Stakeholder engagement/understanding of
recommendations
New Jersey Transit Subject matter expertise, Stakeholder engagement/understanding of
recommendations
Amtrak Subject matter expertise, Stakeholder engagement/understanding of
recommendations

Keolis/MBTA Subject matter expertise, Stakeholder engagement/understanding of
recommendations
Long Island Rail Road Subject matter expertise, Stakeholder engagement/understanding of
recommendations
SEPTA Subject matter expertise, Stakeholder engagement/understanding of
recommendations
Caltrain Subject matter expertise, Stakeholder engagement/understanding of
recommendations
Metrolink Subject matter expertise, Stakeholder engagement/understanding of
recommendations
BNSF Subject matter expertise, Stakeholder engagement/understanding of
recommendations
BLET Subject matter expertise, Stakeholder engagement/understanding of
recommendations
International Association of Subject matter expertise, Stakeholder engagement/understanding of
Sheet Metal, Air, Rail, and collaboration, data, and human error situations
Transportation Workers recommendations
(SMART)
ASLRRA Subject matter expertise, Stakeholder engagement
collaboration, data, and
recommendations
AAR Subject matter expertise, Stakeholder engagement
recommendations
City of Orlando, Florida Rights-of-way access Partnered with FRA to study ROW incursions on
railroad tracks and photo enforcement at grade
crossings
Short Line Safety Institute Subject matter expertise, Improved safety culture
recommendations
Massachusetts Institute of Subject matter expertise, HF automation expertise
Technology (MIT), collaboration, data, and
recommendations
Duke University Subject matter expertise, HF automation expertise
recommendations
Michigan Technological Subject matter expertise, HF expertise
University collaboration, data, and
recommendations
University of Connecticut Subject matter expertise, Project evaluation expertise
recommendations

Benefits Detail
FRA RRS Improved safety requirements, standards, recommendations
Rail industry Improved safety and safety culture
Improved training for railway workers
General public Reduced railroad accidents and fatalities
Proper implementation of technology to improve safety especially related to grade
crossing and trespassing prevention
Small businesses and university Improved railroad research resources and capabilities
research centers Workforce development opportunities
HF establishes research priorities and defines its acquisition plan considering internal and external priorities and
aligns priorities with DOT, FRA, OST-R, and RD&T goals for the upcoming fiscal year. The HF division utilizes a
competitive procurement process as often as possible.
The HF division works with the FRA Office of Acquisitions to initiate various funding vehicles for both single-year
and multi-year contracts across the division, including:

• Sole source
HF benefits from in-kind contributions (e.g., subject matter expertise, track time, data sharing, equipment) from its
collaboration partners. A list of these partners, the contributions they make to HF’s projects, and how that benefits
FRA, can be found in the next section. These contributions are not only desirable for their inherent value but also
guide our researchers to develop practical technology that will function well in practice. HF also benefits from
partners providing non-federal funding on the following projects:
• ASLRRA contributed $250,000 matching funds in FY14 to help develop SLSI.

• National University Rail Center (NURail) University Transportation Center (UTC) consortium contributed
$112,000 to the Michigan Tech research study Driver Behavior at Highway-Rail Grade Crossings Using NDS Data
and Driving Simulators.
• GE Global Research is contributing $247,553 toward Design and Evaluation of a Robust Manual Locomotive
Operating Mode as part of a BAA.

The HF division sponsors research on rail suicide, using an IAA with Volpe because of their rail suicide expert on
staff. This individual leads several projects that require extremely specialized expertise. Examples of this
research 12, which is executed under a noncompetitive IAA, are the Suicide Countermeasure Pilot Projects.
HF directed grants to two organizations to help develop SLSI as a result of ASLRRA, creating SLSI in response to a
January 2014 letter from the DOT Secretary Anthony Foxx. The accident at Lac Megantic, Quebec had occurred the
previous year, and Secretary Foxx asked ASLRRA to take action to improve safety and safety culture on Class II and
Class III railroads.
HF works closely with stakeholders throughout the R&D life cycle and the T2 life cycle to increase user adoption of
research products/services. PMs work with internal (e.g., FRA Office of Railroad Safety, other OAs) and external
stakeholders (e.g., Class I and short line railroads, labor unions, equipment manufacturers, state DOTs) to
contribute to the safe transportation of goods and passengers across America’s railroads. The HF division also
publishes Technical Reports and Research Results in the FRA eLibrary, which are available to the public. PMs also
present their research at numerous industry meetings, both nationally and internationally.
In each contracted research activity, there are clauses requiring the researcher to disclose to FRA any invention
resulting from this sponsored activity. With further research activity, a patent could result. For example:
• HF sponsors applied research at Duke University to prototype a decision-modeling tool to examine the impact
of the application of new technologies on rail dispatcher workload. Duke has filed an invention disclosure with
the university and FRA. This model can be used fora variety of job position and technology insertion. As the
model undergoes continued validation through data collected at rail dispatch centers, a working software
model is already available on the Duke University Humans and Autonomy Lab website. The model still requires
substantial validation.
• HF-sponsored automation research through General Electric Global Research has resulted in disclosure of an
invention that describes methods of providing locomotive operators with enhanced situational awareness
through remote video feeds and communications with other equipment made available through displays or
voice radio. This method provides information about the track environment (e.g., grade crossings) in addition
to simple signal status.
• Participating in TRB and ASLRRA conferences and regional meetings.
The RD&T program supports evaluation on behalf of all divisions. The HF division participates in these external
project evaluations that help all divisions improve performance and increase Government funding ROI.
12 https://www.volpe.dot.gov/rail-suicide-prevention
In 2012, the HF division began its pilot evaluation effort, and, later, participated in the TRB’s evaluation, focusing
on research projects, communication, stakeholder engagement, strategic planning, priority setting, and evaluation.
HF PMs participated in this year’s project evaluation training aimed at providing a basic evaluation skillset for each
RD&T PM.
In 2019, the HF division will work with other RD&T divisions to implement internal processes to improve FRA’s
Evaluation/Performance Measurement section in the Research, Development, and Technology Strategic Plan.
The HF division conducts project evaluations of some of its funded research (see table below). These evaluations
help the division improve the development, utilization, impact, and overall effectiveness of its R&D products, tools,
and processes.
HF has conducted two types of program evaluations in the past: formative and summative. Formative evaluations
provided ongoing feedback to a project as it was developed. That is, the object of the evaluation used systematic
feedback to strengthen its program activities in real time. The HF division’s summative evaluations provide
retrospective assessments and reporting of program outcomes—intended and unintended—to support data-
driven decision making, formulations of evidence-based policies, and public accountability.
Project Type of Evaluation Outcomes & Deliverables

Independent consultants provide ongoing technical evaluation
advisory and educational support to FRA RD&T program managers.
RD&T Program
The Human Factors division intends to use guidance from the
Evaluation Capacity Formative
consultants to build evaluation capacity in its staff. Once trained,
Building
staff will embed program evaluation methods in their R&D programs
through education, sharing best practices and exemplar studies.
Independent evaluation of Amtrak’s Safe-2-Safer (S2S) safety
program. Evaluation provides information to Amtrak about how to
Amtrak Evaluation Summative improve its program and increase its effectiveness and impact.
Deliverables are Research Results reports published in FRA eLibrary.

Independent evaluation of BNSF’s safety initiatives. Collected
information about the initiatives’ roll-out and impact on safety at
BNSF.
BNSF Evaluation Summative
Deliverables are Research Results and Technical Reports published
in the FRA eLibrary.
Independent evaluation to assess the progress and efficacy of the
SLSI’s initiatives and processes.
Formative and
SLSI Evaluation
Summative Deliverables are briefs provided to SLSI, presentations at industry
conferences, and Research Results and Technical Reports published
in the FRA eLibrary.
Deliverables include independent evaluation of FRA’s C3RS program.
Confidential Close Call
Formative and Evaluation provided formative and summative evaluations of the
Reporting System
Summative C3RS demonstration project.
(C3RS) Evaluation

Deliverables are Research Results and Technical Reports published
on the FRA eLibrary and presentations at TRB.
Support of FRA-sponsored working groups comprised of FRA, labor,

and rail carriers. Evaluation support provides guidance on these
groups’ processes and procedures (i.e., how to analyze findings from
SOFA/FAMES incident reports and extract lessons learned).
Formative
Evaluation Support
Deliverables include feedback to the working groups and
development of procedures for systematically analyzing incident
reports.
• Increase dissemination of DOT-funded research reports (OST).
• Increase production of tangible DOT-funded research outputs (OST).
• Increase DOT technology transfer activity (OST).
Deployment of Innovation:
• Increase tangible production of DOT-funded Research (OST).
RD&T began tracking data for FRA’s OST-R Technology Transfer Report 2017. A s discussed in the T2 section,
RD&T will establish baseline metrics using data from FY18 to track performance against the Innovation
• Technical publication downloads—NTL

Section 2: Program Descriptions, FY 2020
The Railroad Systems Issues (RSI) research program directs the entire Research, Development and Technology
(RD&T) program toward the goals set forth by the Department of Transportation (DOT), the Office of the Assistant
Secretary for Research and Technology (OST-R), the Federal Railroad Administration (FRA), and the Office of
Railroad Policy and Development (RPD). The RSI research program defines the strategy to meet DOT, OST-R, FRA,
and RPD goals and assures these goals are met. The principal focus and goal of the RD&T program is safety. FRA’s
RD&T program yields solutions that contribute to all DOT goals to advance infrastructure, innovation, and
accountability—while maintaining a safety focus.
The RSI research program develops, facilitates, manages, and supports the following areas: RD&T research
strategy; safety risk analysis; performance-based regulations; non-regulatory recommendations; railroad
environmental issues; locomotive efficiency; project evaluation; Transportation Research Board’s (TRB’s)
independent review recommendations; workforce development; RD&T-related travel; operations, maintenance
and equipment at the Transportation Technology Center (TTC) facilities in Pueblo, Colorado; and contractor
support.
The RSI research program activities are tailored to address relevant railroad issues spanning the spectrum from
safety to workforce development. RD&T collaborates with academia, the private sector, and the rail industry—in
addition to working with other DOT modes and federal agencies. Activities include:
Rail Safety Innovations Deserving Exploratory Analysis (IDEA)

TRB initiated this effort in conjunction with FRA to address safety needs within the railroad industry. The focus of
this project is to solicit new innovation and technology in rail. The Rail Safety IDEA committee members meet once
a year (usually in December) and discuss all submitted proposals (about 15-18 are received annually) to select the
most promising 2 to 3 proposals to be funded.
The Rail Safety IDEA program is sole-sourced to the TRB, which has been successfully conducting the program
since 2001. TRB is the only entity with the capability of carrying out this program because it is an independent
non-profit entity that has no affiliation with railroad providers, manufacturers, or suppliers. It also has no
affiliation with the universities and small companies (usual candidates for winning IDEA projects). This makes TRB
a unique organization for being independent and unbiased on behalf of an organization. Each research effort
selected has a unique timeframe, generally lasting 1 to 2 years.
• Monitor existing projects.
• Review and select new projects.
• Collaborate with the TRB committee.
• Fund and launch new research.
Expected Outcomes:
With multiple activities each year, the outcomes vary based on the selected projects and duration of research. In
2020, the focus is on:
• Starting new research and completing existing research (based on timelines)

• Delivering an innovative solution to the railroad industry; technology transfer of 2020, 2019, and 2018 efforts.
Project Selection
RD&T prioritizes its research investments annually. This process utilizes a software package (DecisionLens) as
part of this effort. This project includes the activities and costs associated to maintaining the license for the
prioritization software and executing the prioritization process. RD&T conducts prioritization activities to
effectively manage its budget and ensure that stakeholder and industry needs are inputs to the investment
planning process. RD&T conducts project selection activities to ensure stakeholder input is considered as part of
the planning process. Safety priorities, especially those provided by the FRA RRS, are a major input into the
process.
• Update the safety risk model to guide the RD&T project safety risk decisions and improve efficiency in project
spending.
• Update the portfolio prioritization methodology.
• Prioritize RD&T research portfolio.
Expected Outcomes:
• Optimize the prioritization methodology/process.
• Prioritize investments.
Program Support
This project provides technical editing, analyst, and management support to RSI. FRA research produces various
deliverables as part of RD&T T2 process, and FRA works with technical editors to publish this content. Program
management/analyst/subject matter experts provide project, program, and portfolio management support.
• Review papers, reports, results, and other material.
• Edit papers, reports, results, and other material.
• Provide program, project, and portfolio management support.
Expected Outcomes:
• Edited and published RD&T material.
• Strategic planning, tracking, and management of RD&T’s portfolio, information, and data.
Project Evaluation
The focus of this project is to educate and train program managers (PMs) about project evaluation techniques,
develop performance measures, improve project progress, and reduce cost. PMs and external parties will evaluate
projects conducted by the five RD&T divisions to measure success, improve project performance and railroad
safety. Project evaluation processes will help RD&T better manage funding and meets the DOT Strategic Goal of
Accountability. RD&T has benefited from project evaluation efforts in previous fiscal years, improving the benefit
of solutions delivered. This funding supports RD&T’s project evaluation maturity (see Performance Measurement
RSI section).
• Continue project evaluation training.
• Create project evaluation tools.

• Continue implementation of RD&T project evaluation methodology.
• Conduct project evaluations.
• Optimize RD&T’s performance management metrics.
Expected Outcomes:
• Increase maturity of project evaluation practices.
• Standardize performance measurement.
• Standardize project evaluation.
• Establish performance measurement baseline.
Transportation Technology Center (TTC)

The primary objectives of this funding are to maintain the one-of-a-kind infrastructure at TTC to accommodate the
testing and evaluation of intelligent railroad systems technologies and to provide the FRA with the type and quality
of facilities and equipment needed to meet its missions in safety, infrastructure, innovation, and accountability.
Focused on enhancing railroad safety, TTC drives national research, development, and application of new
technology for railways, suppliers, governments, and others involved in rail transportation. Other government
agencies also utilize TTC:
• Since 1985, the Security and Emergency Response Training Center at TTC has been training first responders to
handle hazardous materials accidents.
• The Transportation Security Administration (TSA) has created the Surface Technology Security Training
Center at TTC, providing training to Department of Homeland Security (DHS) inspectors and other Federal,
State, and local security partners.
• DHS has been an active user of the facility. DHS is conducting the assessment of Threat Risk for Rail Car Blast
Scenarios project and numerous railroad operations and safety training. DHS is also pursuing development of
an underground rail station and tunnel security training facility.
• The Federal Transit Administration and the Department of Defense are also involved in utilizing the facility.
• See Track Research section.
Expected Outcomes:
• See Track Research section.

This project conducts research focused on safety with secondary strategic alignment to innovation, infrastructure,
and accountability in the railroad industry. The problem addressed by this project will be selected based on
industry need.
• Continued innovative research to improve America’s railways
Expected Outcomes:
• Technology transfer of RSI efforts
Workforce Development (WFD)

Provide support and domain expertise in the areas of railroad WFD to adequately identify suitable approaches for
both the management and capture of rail workforce-related trends, and respond to DOT data calls. This research

increases the awareness of railroad industry WFD issues by establishing and/or participating in forums and
research efforts to foster and support industry collaboration.
• Participate in the DOT Education and Workforce Development Community of Practice on behalf of FRA.
• Conduct and publish a railroad industry workforce assessment (known as the Modal Profile).
• Capture and analyze data on trends, skill gaps, skill demands, training opportunities, industry best practices,
and cross-modal efforts.
Expected Outcomes:
• Updated Modal Profile published.
• Research results of workforce development published.
• Continued stakeholder engagement.
Energy and Emissions

Investigate alternative energy and propulsion and emissions reduction technologies for rail equipment, improving
the transportation of goods and people. This research area focuses on supporting activities related to real-world
demonstration of alternative fuels, technologies that can reduce harmful exhaust gases, and improvement in
standards for noise emissions to ensure implementation of high-speed rail across the nation.
• No activities are planned for FY20.
Expected Outcomes:
Provide FRA RRS with improved science to drive standards and requirements development, and support
compliance in support of emissions limit for both passenger and freight equipment.
Locomotive Engine Efficiency Research

The goal of this research is to investigate innovative locomotive engine technologies to ensure the safe and
efficient transportation of goods and people. Areas of focus for this research program include: reduction in fuel
consumption, improvement in engine component life, and improvement in the efficiency of older, less efficient
locomotives. Research is conducted in collaboration with Class I railroads to demonstrate and develop prototype
systems. This research area addresses the DOT Strategic Goal of Safety and Innovation and the DOT RD&T Critical
Transportation Topics of promoting safety, and protecting the environment.
• Assess technological innovation, such as locomotive waste heat recovery systems, using high-pressure heat
exchangers in a real-world environment.
• Develop and prototype demonstration of hybrid systems, such as battery technology and heat exchangers, for
improved efficiency.
Expected Outcomes:
• Deployment of a prototype fuel cell technology in railroad application for propulsion
Accessibility
Investigate universal and inclusive designs for accessibility onboard passenger trains. FRA is in a unique position
to collaborate with stakeholders (e.g., other Federal agencies, disability advocacy groups, passenger rail operators,

equipment manufacturer and industry groups) to ensure new standards for accessibility are feasible and safe,
balancing the requirements of the law with the capability of the equipment.
• Identify available technologies that can improve communication and travel experience for passengers with
disabilities.
• Investigate the impact of new requirements for accessible on-board passenger rail equipment, as related to
safety, usability, and efficiency.
Expected Outcomes:
• Implementation of procurement specification standards for equipment
Research with Universities on Intelligent Railroad Systems*

This project will utilize funding from FY19 if funding is provided to RD&T to support university research on
intelligent railroad systems. This project will start funding research in FY18. FRA will use a broad agency
announcement (BAA) to solicit basic and applied technology research projects that will support DOT and FRA goals
to advance automation and connected vehicle technology adoption in the rail industry. The BAA was published in
collaboration with the Intelligent Transportation Systems – Joint Program Office (ITS-JPO). FRA reviews proposals
with a preference for projects that advance these technologies for rural applications. Program objectives within
this project include:
• Enabling safer vehicles and roadways
• Enhancing mobility
• Limiting environmental impacts
• Promoting innovation
• Supporting transportation connectivity
*This funding is an earmark grant provided by Congress for the Research with Universities on Intelligent Railroad
Systems annually. In addition to the total budget for FRA RD&T. If Congress chooses NOT to fund the $2M earmark,
this activity will not be executed in 2019.
• Publish the BAA.
• Review university proposals.
• Select prospective research projects.
• Fund and begin selected projects.
Expected Outcomes:
• A focus on advanced technology, automation, and connected vehicle technologies
• Projects advancing these technologies for rural application
• Intelligent transportation systems
Public, Private, and University Cooperative Research Agreement

The Public, Private and University Cooperative Research Agreement is a collaborative effort with the Association of
American Railroads (AAR) to provide research opportunities to American academic institutions, attracting and
funding proposals with the potential to improve safety and performance in railroad systems in the following areas:
track, rolling stock, train control and communication, and human factors.
Annually, the Public, Private and University Cooperative Research Agreement committee members review and
determine research themes that the railroad industry needs to address through this Agreement. These research
themes will drive research topics. Through this Agreement, research topics will be announced and reviewed and
the most promising proposals will be selected for funding.
All selected proposals have the ultimate goals of improving railroad safety and performance; enhancing the
infrastructure conditions and services by stimulating economic growth, productivity and workforce development;
and serving the nation with reduced regulatory burden and greater efficiency, effectiveness, and accountability.
This effort includes a cost-share arrangement, with AAR contributing approximately $800K annually and the
railroad industry’s significant in-kind support.
• Publish the request for proposals.
• Review university proposals.
• Select prospective research projects.
• Fund and begin selected projects.
Expected Outcomes:
The expected outcomes align with the DOT Strategic Goals of Safety, Innovation, Infrastructure, and Accountability.
Expected outcomes include:
• Projects that focus on advanced technology, automation, and connected vehicle technologies.
• Projects that advance these technologies for rural application.
• Projects that focus on workforce development.
Note: This funding will come from multiple divisions to support their research.

All RD&T divisions support the Office of Railroad Safety (RRS) by providing subject matter expertise (SME)
consultation, research, data, and tools to improve railroad safety and reduce accidents and incidents. RRS works
closely with RD&T to provide insight into research needs throughout the fiscal year. RD&T needs the ability to
support requests for research and expertise for time sensitive safety issues. RD&T plans to support the following
RRS-requested initiatives:
• Railroad Information Sharing Environment (RISE) Developmental Evaluation Support
• Partner with RRS and industry on RISE.
• Conduct research of urgent safety issues.
• Provide SME support to RRS.
Expected Outcomes:
• Continue the implementation of RISE.
• Analyze safety risks and identify mitigations to those risks.

RD&T strategically aligns its research with DOT, OST-R, FRA and RPD goals and strategic plans, with a focus on
of innovation, infrastructure, and accountability. As the railroad industry changes due to advancements in
technology, FRA has been a leader for decades, researching innovative solutions to improve the safety of moving
goods and people in America. All five RD&T divisions conduct research in automation technology to help
understand how to best utilize new technologies and minimize human errors associated with automation. Projects
conducted by the Track Research, Train Control and Communication (TCC), and Rolling Stock divisions improve
the infrastructure of America’s railroads to improve safety. FRA RD&T’s Railroad Systems Issues program
continues its research into the industry’s workforce development efforts to support the infrastructure of America’s
railroads. Project evaluations conducted by RD&T divisions support accountability and help gain insight on how
RD&T will mature its performance measurement and evaluation efforts. RD&T works closely with FRA RRS to
provide the basis for science-based requirements, standards, and recommendations that have been tested in real-
world environments with the help of companies and organizations who will adopt and use the technology.

RD&T projects focus on problems affecting urban, suburban, and rural communities. FRA structures research to
address high priority problems wherever they may occur, responding to incidents that may take place during a
fiscal year, with a long-term focus on improving safety. Although RD&T programs impact short lines and grade
crossings which have a higher concentration in rural areas, programs have not historically been geographically
focused. RD&T will consider rural communities as part of program planning in the future. The Intelligent Railroad
Systems project emphasizes research that benefits rural areas.

Track Research
The Track Research program prepares for the future of rail transportation through applied research, development,
and demonstration. As new technologies continue to emerge, and as train axle loads and speeds increase, the
timely development of technical information, data, and expertise is crucial to provide a basis on which to make
decisions about issues affecting the safe operation of rail vehicles on U.S. track. The Track Research program
supports the goals and objectives of the DOT/FRA administration; conducts safety-related research for new and in-
service railroad system investments; develops and demonstrates new track condition assessment technologies;
and coordinates research teams between railroads, universities, technology leaders, and the Government. There
are three primary research areas included in the program: track structures and components, track and train
interaction safety, and operation of research assets, including the DOT TTC facility. In FY 2019, the Track Research
program will conduct the following activities:
Track and Structures – Rail Performance and Integrity

This research builds upon the FY 2019 first-generation prototype with the second-generation prototype of flash
thermography technology for the detection of base defects.
Activities:
• Continue to gather rail defect donations from at least three Class I railroads, characterize these defects, and add
them to the FRA rail defect library at TTC for the entire research community to utilize in developing better
detection systems.
• Refine toward commercialization a unique automation of detection protocol for ultrasonic rail inspection.
• Building upon FY 2018 and FY 2019 efforts, develop a second-generation prototype for Laser Doppler
Vibrometer rail measurement for non-contact rail integrity testing.
• Fabricate first commercial grade prototype for acoustic-based rail vibration measurement for non-contact rail
integrity testing.
• Develop first commercial-grade prototype for rail flaw 3-dimensional image scanner.
Outcomes:
• Updated FRA rail defect library at TTC for the entire research community.
• Refined automation of detection protocol for ultrasonic rail inspection.
• Second-generation prototype for Laser Doppler Vibrometer rail measurement for non-contact rail integrity
testing.
• Prototype for acoustic based rail vibration measurement for non-contact rail integrity testing.
• Prototype for rail flaw 3D image scanner.
Track and Structures – Track Inspection Technology and Processes

This research automates the design of the track change detection system and develops models for combining track-
related measures.
Activities:
• Developing mathematical/statistical models for combining multiple track-related measures (including ballast
condition) to enhance predictive capability of each with respect to the condition of the overall track system.
• Initiating efforts to automate the previously developed prototype track change detection system.
Outcomes:
• Mathematical/statistical models for combining multiple track-related measures (including ballast condition) to
enhance predictive capability of each with respect to the condition of the overall track system.
• Automated prototype track change detection system.
Track and Structures – Track Support & Substructure

This research seeks to prevent derailments caused by track support and subgrade issues.
Activities:
• Develop reliable and automated method to assess track fouling and the development of safety criteria through
an understanding of subgrade failures.
• Develop characterization and further understanding of ballast mechanistic behavior and properties.
• Further develop Vertical Track Deflection Measurements to provide a structural indication of the track support
structure with large deflection indicating weakness in the track support layers.
• Further refine GRMS technology to identify potential track strength weakness at the rail-tie interface.
Outcomes:
• Automated method to assess track fouling and the development of safety criteria through understanding of
subgrade failures
• Improved understanding of ballast mechanistic behavior and properties
• Vertical Track Deflection Measurements to provide a structural indication of the track support structure with
large deflection suggesting weakness in the track support layers
• Refinement of GRMS technology to identify potential track strength weakness at the rail tie interface
Track and Structures – Track Buckling and Panel Shift

This research builds upon the FY 2019 first-generation prototypes for measuring rail stress without a zero
reference.
Activities:
• Develop second-generation prototypes to measure rail stress without a zero reference.
• Initiate build of a rail stress and rail-neutral temperature test bed at TTC building upon the specifications and
plans developed under FY 2019 funding.
Outcomes:
• Prototypes to measure rail stress without a zero reference
• In-progress build of a rail stress and rail neutral temperature test bed at TTC building upon the specifications
and plans developed under FY 2019 funding
Track and Structures – On-Track Research and Testing

This research seeks to conduct track research and testing to prevent derailments caused by track and structures.
Activities:
• Expand upon the test capabilities of the specialized test zone at TTC, focused on investigating the relationship
between degraded ballast conditions and the integrity of track as a system.

• Further evaluate the effectiveness of the UIT to improve weld strength through revenue service testing at the
megasite(s).
• Develop and evaluate the next-generation RHRW for rail-related defect removal through lab and controlled-
• Initiate tests focused on the effects of cold weather on the integrity of the track system.
Outcomes:
• New test capabilities of the specialized test zone at TTC, focused on investigating the relationship between
degraded ballast conditions and the integrity of track as a system.
• Report on the effectiveness of the UIT to improve weld strength through revenue service testing at the mega
site(s).
• Advancement of next generation RHRW for rail-related defect removal through lab and controlled-
• Test results on the effects of cold weather on the integrity of the track system.
Track and Structures – Tie and Fastener Performance and Integrity

This research builds upon the FY 2019 modeling and testing of instrumented EPC tiles.
Activities:
• Complete modeling and in-track testing of instrumented EPC ties to evaluate the thermal effects on (1) track
gage and (2) stress/load environment.
• Finalize science-based recommended practices for the safe implementation of EPC tie in revenue service using
the research results.
Outcomes:
• Completed modeling and in-track testing of instrumented EPC ties to evaluate the thermal effects on (1) track
gage and (2) stress/load environment.
• Finalized science-based recommended practices for the safe implementation of EPC tie in revenue service
using the research results.
Track-Train Interaction – Vehicle Track Performance

The goal of this research is to better understand how track and train interact and how infrastructure reacts with
vehicles, given the industry trend toward higher loads or faster service.
Activities:
• Finish the design and start building a test bed that can validate the accuracy of track geometry measurement
systems being used by FRA and the industry.
• Initiate development of tangible outcomes for some projects.
• Initiate construction of the curved test track.
Outcomes:
• Finished design and initiate building a test bed that can be used to validate the accuracy of track geometry
measurement systems used by FRA and the industry.
• Developed tangible outcomes for some projects.
• Constructed curved test track.

Track-Train Interaction – Wheel-Rail Interface
The goal of this project is to continue research to understand the root cause of RCF and develop methodology,
techniques, and inspection tools to identify the problematic conditions before they become a safety threat.
Activities:
• Development of tangible outcomes for some projects within this research program by the end of 2020
• Development of recommendations on third body layer influence and parameters—and operating conditions
that can cause RCF
Outcomes:
• Developed tangible outcomes for some projects within this research program by the end of 2020.
• Recommendations on third body layer influence and parameters and operating conditions that can cause RCF.
Track-Train Interaction – Vehicle-Track Modeling, Simulation and Validation

Under the Vehicle-Track Modeling research area of this program, TR will continue the work on all the areas related
to Vehicle-Track Modeling.
Activities:
• Continue to support the development of procedures for both model building and model validation.
• Continue to support the development of procedures to include advanced friction models that examine the
effects of falling friction, speed, and third body layer on wheel-rail contact forces and 3-dimensional contact
geometry.
• Support testing and modeling of vehicle suspension components.
• Support building of vehicle and track models for various equipment and operating practices to be used for
derailment investigations or developing safety.
• Tangible outcomes for some projects within this research program can be expected toward the end of 2020.
Completion of the model perform simulation to see the response of the vehicle to multiple track input.
Outcomes:
• Developed procedures for both model building and model validation.
• Developed procedures to include advanced friction models that examine the effects of falling friction, speed,
and third body layer on wheel-rail contact forces and 3-dimensional contact geometry.
• Test results and modeling of vehicle suspension components.
• Progress toward building of vehicle and track models for various equipment and operating practices to be used
for derailment investigations or developing safety.
• Development of tangible outcomes for some projects within this research program; completion of the model
perform simulation to see the response of the vehicle to multiple track input.
Rail Joints and Welds Research
FRA conducts research on rail welding and joining to improve overall rail integrity in both jointed and
continuously weld track. Rail weld and joint failures are a leading cause of derailments. FRA efforts are targeted at
improving the reliability of these critical components to ensure rail safety by developing solid-state robotic
welding techniques.
New technologies can be applied to these areas of track to improve safety and reliability. This research effort is
conducted with significant in-kind support from railroads and industry suppliers that supplements FRA’s limited
research funds. This advanced research would not be possible without this support; however, FRA leadership
provides a conduit to maximize and align the research efforts.
• In FY19, FRA will continue the development of two technologies that will improve rail reliability and safety.
• Repair, install, and in-service performance monitoring of an AMS frog.
• Develop an automated, pre-weld grinding procedure and test, and demonstrate the new attachment technique
at DOT TTC and on revenue service tracks owned by participating railroads.
Expected Outcomes:
• Develop and demonstrate solid-state, robotic welding techniques to repair worn switch frogs.
• Develop and demonstrate new technology to attach signal wires to rail that eliminates the variability in weld
quality and the undesirable metallurgical changes that result from the current CAD-WELD technology used
throughout the industry.

The FRA RD&T Track Research program supports the goals and objectives of DOT, OST-R, FRA and RPD
administrations. This program’s fundamental mission is to improve railroad safety. It provides the scientific and
engineering basis for improved industry guidelines and Federal safety standards. It develops new technologies and
transfers this technology to the industry through coordinated research and demonstrations. This includes new and
advanced inspection approaches that, after implementation, provide an improved situational awareness of the
railroad system infrastructure.
The goal of this research is to increase safety by reducing track support-caused derailments. Investment in On-
Track Research and Testing ensures the timely implementation of effective strategies aimed at improving the
safety of rail transportation for the American public by bolstering instrumental public-private partnerships that
advance DOT Strategic and Organizational Goals.
These technologies focus railroad maintenance activities on the locations that have the highest risk for
derailments. They incorporate innovative, science-based approaches to evaluate the overall stress state of the
railroad such as longitudinal rail stress, the underlying cause of sun kinks, and rail pull-parts. Highly portable tools
that measure rail stresses will allow the railroads to monitor track condition and prioritize the maintenance
needed to prevent derailments.

In all inspection system projects conducted, the FRA research team continuously works on autonomous
approaches to permit testing of track structures using non-contacting, low-maintenance sensors under revenue
service vehicles at track speeds. This approach turns every train pass into a track system evaluation. The result is
earlier detection of defects and trending of defect development without interference in train operations. This keeps
average train velocities high over the system, improving the mobility of passengers and freight. Throughout the
program, FRA collaborates with the railroad industry to develop and implement these new technologies and
practices to improve overall rail system safety.
Rural communities are directly impacted by the outcome of this research as it affects short line railroads (i.e., small
business railroad entities), which operate 29 percent of freight rail in the U.S. 13 Short line railroads provide critical
transportation services for rural markets, such as farming and ranching. By preventing derailments through better
control of track-train interaction forces and accelerations, the Track Research program reduces the risk of rail-
related HazMat spills and contamination of rural and urban areas affecting local air or water quality.
The industry trend toward higher loads has stressed existing infrastructure where these loads are common and
particularly the support structure, including ties and ballast. The application of high loads to new territory to
satisfy transportation demands, such as a rise in crude oil by rail traffic volume, increases the risk of track support
failure where the support materials are below the track surface and impossible to inspect visually.
Innovative technologies have been applied to quantify the condition of these materials, including advanced
ground-penetrating radar and spectral analysis of surface waves. These technologies provide data on the condition
of infrastructure, may expose failure risks, and are applicable to maintenance planning. By providing a history of
the condition change over time, these technologies can be applied to ensure accountability of the industry to
maintain proper track support for the high loads that drive the efficiency of the industry.
In addition to FRA, AAR, multiple Class I freight railroads, and Amtrak are actively involved with research
endeavors aimed at improving track inspection technology and processes. AAR, Class I’s, and Amtrak are also
working on track support and substructure research.
FRA has invested in this research in the past and the results of such research are driving the technological roadmap
for this program for the next 5–10 years. FRA is heavily invested in this research, and past results have benefitted
railroad safety in the form of technologies such as GRMS, used to predict gage widening and track strength.
Tangible outcomes for some projects within this research program can be expected toward the end of 2020.
13 Source: American Short Line and Regional Railroad Association

Rolling Stock Research
The Rolling Stock Research program performs research activities on critical transportation topics that promote rail
safety and improve rail infrastructure and mobility of goods and passengers—as well as topics that focus on
preserving the environment. The Rolling Stock Research program conducts research to reduce railroad accidents
and incidents due to rolling stock-related causes as well as research to reduce fatalities and injury severity to
passengers and crew members involved in passenger train accidents and incidents. The program produces
solutions contributing to all DOT Strategic Goals: Safety, Infrastructure, Innovation, and Accountability. The goals
of this program are accomplished through the following research areas:
HazMat – Tank Car Research

Tank car research aims to improve the packages that carry hazardous materials to reduce their release during rail
accidents and incidents.
Conduct full-scale dynamic crash tests on a DOT 117 and DOT 113 tank cars to evaluate the performance of these
tank cars, validate the computer models, and start the preparation for a fire test on a DOT 113.
Expected Outcomes:
The tank car research will provide FRA with information on the crashworthiness and puncture resistance of the
different tank cars used in the transportation of hazardous materials as well as determining its behavior and
failure modes under accident conditions and normal transportation conditions.
HazMat – Structural Integrity

Structural integrity research goals include understanding the performance and durability of safety equipment and
protective systems for tank cars and portable tanks. This research area focuses on the study of the current fleet and
identifying problems with current equipment and packages.
Studies will be identified from the data collected during the safety and tank car inspections. These include
instrumented tank cars to record the operating environment in various train configurations and evaluation of new
non-destructive techniques to identify cracks on tank cars.
Expected Outcomes:
By conducting this research, RD&T will provide the information on the performance and durability of safety
equipment for tank cars and portable tanks so DOT has the required information to justify, modify, eliminate, and
create safety standards.
HazMat – Accident Consequence Reduction

Accidence consequence reduction goals include studying the loading and unloading practices of hazardous
materials to improve the operating practices and securement of packages for safe transportation and reduce non-
accident releases.

Continue to investigate accidents involving hazardous material packages and test new steel for use on tank cars.
Expected Outcomes:
This research will help FRA evaluate and document the damage to railroad tank cars, study and capture the results
of the liquid/vapor release flow on pressure relief devices, and improve resistance to failure during train accidents.
The research will enable FRA and stakeholders to better understand how failures occur and how to best prevent or
manage the consequences of such failures through improved equipment designs and protection.
Safe Transportation of Energy Products (STEP)*

This project will assess the operational safety risks associated with hazardous material unit trains, and will focus
on determining if unit train operation of hazardous materials presents any unique or additional risks compared
with 1) unit train operations of non-hazardous materials, or 2) mixed-freight operations involving the same
hazardous materials planned for transportation in unit trains.
As part of this project, FRA will continue providing engineering support in the research, design, fabrication, and
test-planning of ISO tank and tank car fire testing and the structural performance of equipment used as fuel
tenders and energy products as commodity transport.
*This funding is an earmark provided annually by Congress for Safe Transportation of Energy Products (STEP).
This is in addition to the total budget for FRA RD&T. If Congress chooses NOT to fund the $2M earmark, this
activity will not be executed in 2020.
• Provide engineering support in research, design, development, and test-planning.
• Collaborate with PHMSA.
Expected Outcomes:
• Understand the risk related to the transportation of different hazardous materials in different train
configurations.
• Understand the risk related to the transportation and use of energy products (e.g., LNG, ethanol).
RSEC – Rolling Stock Component Safety

Rolling Stock component safety research seeks to proactively prevent above-track equipment and component
failures (i.e., situational hazard prevention), and provide the analytical and technical basis to develop equipment
safety standards while also improving safety, reliability, and “respectability” of rail equipment, technologies, and
material.
FRA needs to invest in this research as it is responsible for conceptualizing and demonstrating the effectiveness of
technology solutions which improve safety. FRA undertakes research to design, develop, and demonstrate effective
wayside and onboard technologies which can provide component health monitoring. Partnering with railroads and
other interested parties results in successful demonstration of technologies which are subsequently adopted by the
industry.
Strategic priorities include the investigation of the effectiveness of wayside and onboard monitoring systems to
detect equipment defects and the analysis of component failure modes to identify necessary improvements in
materials and construction methods.

• Continue to evaluate and test equipment and components for increased integrity to withstand damage and
failure that could increase risks and lead to accidents and incidents.
• Research and consider methods to measure the predictability of equipment health and component wear life.
• Collaborate and support the demonstration and implementation of wayside and onboard monitoring and
inspection of equipment and components to help ensure safe train operations.
Expected Outcomes
• Research, development, and technology transfer of components and systems that reduce the risk of rail
incidents and accidents and increase the safety of the nation’s rail transportation network.
• The research and development in this area aims to reduce the likelihood of derailments from equipment
failures and to mitigate the consequences should derailments occur through these or other causes.
RSEC—Rolling Stock Maintenance & Inspection

The Rolling Stock maintenance and inspection research area goals are to evaluate and demonstrate the
effectiveness and efficiency of automated inspection and maintenance procedures and equipment. The goal is also
to demonstrate the ability to develop, monitor, control, and evaluate integrated advanced components to detect
defects in real time, predict and prevent future failures, improve rolling stock capabilities and performance, and
improve overall rail operational safety.
This research is important because FRA’s mission is to improve safety and prevent derailments that cause injury
and loss of life. Derailment prevention is a major safety issue. Developing a system for powering many advanced
detection devices on freight trains will increase safety and security, and improve the efficiency of freight railroad
operations. Developing technologies to detect the defects on rolling stock equipment, and predict future failures
that may be prevented, will substantially improve railroad safety. These types of research investments keep the
U.S. rail sector growing and improving to keep up with the latest efficiency and safety standards. FRA’s systematic,
basic research in this area provides results that could be used by industry and universities to make improvements
to railroad safety.
Benefits of this research include improved safety regulations, lower operating costs, reduced railroad accidents
and fatalities, improved equipment service life, increased safety and security, and improved efficiency for freight
railroad operations.
• Continue to evaluate and demonstrate advanced equipment as well as inspection and maintenance procedures.
• Demonstrate the ability to develop, monitor, control, and evaluate integrated advanced components.
• Develop a system to power advanced devices and systems. Develop a reliable framework for a wheel life model.
• Develop technologies to detect defects on rolling stock equipment and predict failures.
Expected Outcomes:
The development of a system to power advanced detection devices, technologies to detect defects on rolling stock
equipment and preventable failures, a reliable framework for a wheel life model to explain fatigue and help
mitigate wheel failure, the quantification of the effects of tread braking on wheel damage mechanisms and fatigue
life, and vehicle dynamics simulations.
RSEC—Train Handling & Operating Practices

Train handling and operating practices research is intended to develop simulation scenarios to evaluate different
network and capacity-related parameters with ECP brakes and PTC technologies and to compare these to the
conventional signaling and braking applications. Simulation scenarios include network topology, traffic type, ECP
scenarios, and PTC scenarios (with/without ECP scenarios).
This area of research will also focus on developing effective methodologies/models for evaluating the economic
benefits of improving railroad network velocity and capacity. These tools will be critical in demonstrating the
benefits of technologies such as ECP brakes, PTC, higher-speed operations, shared corridors, etc.
This research is in line with FRA’s mission to improve safety and performance, and prevent derailments that cause
injury and loss of life. Derailment prevention is a major safety issue. It is in the FRA’s best interest to enhance the
economic benefits of improving railroad network velocity and capacity. Developing an improved and reliable
railroad network velocity and capacity will substantially improve railroad safety and performance. FRA invests in
technology that is innovative and has a lower technology readiness level than the private sector can justify. This
investment keeps the U.S. rail sector growing and improving to keep up with the latest efficiency and safety
standards. FRA’s systematic, basic research in this area provides results that could be used by industry and
universities to make improvements to railroad safety.
The rail industry will benefit from this research through improved safety regulations, lower operating costs, fewer
railroad accidents and fatalities, and overall improved railroad performance.
• Continue to develop simulation models to evaluate network- and capacity-related parameters with ECP brakes
and PTC technologies and compare to conventional signaling and braking applications.
• Evaluate the economic and safety benefits of improving railroad network velocity and capacity.
Expected Outcomes:
• The rail industry will benefit from this research through improved safety regulations, lower operating costs,
fewer railroad accidents and fatalities, and overall improved railroad performance.
TOP – Fire Safety Research

The fire safety research area is focused on evaluating cost-effective, alternative performance methods and criteria
for passenger rail equipment fire safety through analysis and testing.
This research area addresses the DOT Strategic Goal of Safety and Innovation and the DOT RD&T Critical
Transportation Topics of promoting safety, and preserving the environment.
• Computer simulations of the performance of rail car designs that are atypical for the current U.S. market using
validated fire safety models.
• Additional activities include a feasibility study of integration of validated fire dynamic models with railEXODUS
to evaluate fire growth and passenger egress based on rail car interior designs and an evaluation of the toxicity
of materials.
• An update of industry standards in the promotion of cost efficiency will be conducted.
Expected Outcomes:
• The anticipated outcomes from this research area are the evaluation of alternative industry and equipment
manufacturers’ standards on fire safety of passenger rail equipment materials and components and the
determination of equivalency of such standards to the current Federal regulations.

TOP – Emergency Preparedness Research
The emergency preparedness research area’s goal is to investigate and develop innovative safety technologies that
improve emergency preparedness and egress features of passenger rail equipment using state-of-the-art
simulation tools.
It is part of FRA’s mission to define minimum safety standards for passenger rail equipment. These research
initiatives allow FRA to collect data in a transparent manner in collaboration with the private sector, and ensure
findings are shared across all interested stakeholders. This research area addresses the DOT Strategic Goal of
Safety and Innovation and the DOT RD&T Critical Transportation Topics of promoting safety, and preserving the
environment.
• Research activities will focus on collecting data from training exercises by railroad employees and first
responders using the Bi-level Passenger Vehicle Emergency Evacuation Simulation tool.
• Evaluate egress based on simulations using fire dynamics simulation and railEXODUS models.
Expected Outcomes:
• The research activities develop and demonstrate tools and techniques that can be used to guide the design of
rail car interiors to ensure efficiency in egress as well as to ensure passenger rail crewmembers are sufficiently
trained to perform safety and life-saving functions for passengers during emergencies.
TOP – Natural Gas Safety Research

The goal of natural gas safety research is to investigate innovative safety technologies that will improve the
transportation and use of natural gas, both liquefied and compressed, in the rail sector. The research provides FRA
RRS with the scientific basis for decision-making and development of standards and requirements. This research
area addresses the DOT Strategic Goal of Safety and Innovation and the DOT RD&T Critical Transportation Topics
of promoting safety, and preserving the environment.
• Anticipated research activities will focus on reviewing railroads’ prototype revenue service operations plans of
natural gas-fueled locomotives and transportation of natural gas as a commodity.
Expected Outcomes:
• Documentation of the effectiveness of industry-specified safety features of natural gas storage equipment after
prolonged exposure in the rail environment
• Industry specification for CNG tender car
• Assessment of prototype dual-fuel locomotive with onboard CNG storage
TOP – Cab Displays, Controls, and Environment

The goals of this research area are: to improve cab/locomotive visibility at night, provide extra alerting for track
workers and trespassers, provide extra visibility/alerting when approaching grade crossings, unify an optimized
cab display across all railroad providers, increase freight and passenger rail safety, and reduce operating and
maintenance costs for locomotives.
FRA needs to invest in this research area to support its missions of improved safety, performance, and mitigation
of the consequences of collisions and derailments that cause injury and loss of life.

FRA invests in technology that is innovative and has a lower technology readiness level than the private sector can
justify. This investment keeps the U.S. rail sector growing and improving to keep up with the latest efficiency and
safety standards.
• Research activities focus on improving locomotive cab displays, developing an optimized cab display that could
be unified across all railroad providers, and improving train control and visibility at night.
• Continued implementation of advanced, safe, and cost-effective LED headlights across all railroad providers.
Expected Outcomes:
• Expected outcomes from this research are better train control and visibility and fewer fatalities and injuries to
train crews, passengers, track workers, and the general public.

FRA’s RD&T Rolling Stock research program focuses on improving railroad safety. It provides the scientific and
engineering basis for improved industry and Federal standards and improved safety enforcement and compliance
using those standards. Through the program, FRA collaborates with the railroad industry to develop and
implement new technologies and practices to improve overall rail system safety. The Rolling Stock research
program, in collaboration with the rail industry, is aimed at reducing derailments due to equipment failures,
minimizing the consequences of derailments, and minimizing accidental releases of hazardous materials.

This program inherently has a significant impact on rural communities in that improving equipment and operating
practices reduces the risk of rail-related HazMat spills; hazardous materials research minimizes the consequences
of the release that may affect rural communities

Train Control and Communication Research
The Train Control and Communication (TCC) research program focuses on improving railroad operation safety
through the development and testing of train control and communication systems and grade crossing safety
technologies. The program also conducts pilot studies, creates prototypes, and demonstrates safety and security
systems, including intelligent rail systems, blocked crossings, and trespass prevention.
PTC Technology
This work will continue to assist railroads in meeting the congressional mandate for PTC while maintaining safe
and efficient rail operations. FRA staff will work with railroad stakeholders to identify technology gaps and needs
in the design, development, deployment, and evolution of PTC.
• PTC-integrated work zone protection technology deployment

• Railroad wireless spectrum use planning and optimization
• Rail communication security solution testing
• PTC reliability and availability improvement testing
• PTC automated braking system refinement
Expected Outcomes:
• Safer and more reliable PTC systems that contribute positively to railroad operational efficiencies.
• Greater number of track miles equipped.
PTC Interoperability
• Continue interoperability research to ensure compliance with the RSIA of 2008.
• Engage stakeholders to develop interoperability specifications, lifecycle management, verification of
interoperability between differing PTC systems, applications and integration of products and processes into
the National PTC network. These activities will evolve as PTC is rolled out on all railroads.
Expected Outcomes:
• Produce publicly available, finalized technology specifications to encourage the private sector to further
develop and deploy. Since this will be an open standard, it will create a competitive marketplace, increasing
economic competition and workforce development.
• All railroads are expected to accept these developments for implementation at the earliest opportunity and
finalize any individual railroad requirements.
PTC Next Generation

• Work with industry, vendor, and university support to develop a spectrum of potential solutions, ranging from
improving conventional train control and management methods to developing and implementing an advanced
train control and management system architecture, along with an associated migration plan, are key steps
toward achieving mitigation of PTC impacts.
Expected Outcomes:
• Improve the safety and capacity of the railroads with concepts such as moving block operations, automated
train movements, connected vehicles, and variants thereof. North American railroads are actively engaged in
the development and implementation of these cutting-edge technologies.
• It is anticipated that the AAR and its member railroads will implement future technological advances upon
development for safety and efficiency enhancements. The evolution of PTC as a technology will continue to be
an important element of the industry’s strategy for the enhancement of safe and efficient rail transportation. If
PTC technology does not continuously improve, inefficiencies will continue to cripple capacity, increasing the
cost of moving people, goods, and services throughout the network.
Intelligent Transportation Systems (ITS)

• Continue collaboration between railroads and automotive industry stakeholders to develop coordinated
solutions for automated transportation systems.
• Continue the development of standards and practices for automated rail operations and highway-rail grade
crossing systems.
• Evaluate innovative technologies important to rail ITS.
• Test prototype and reference architectures.
• Monitor model deployments and evaluation of connected safety systems.
Expected Outcomes:
• Continued improvement in grade crossing safety and highway-rail transportation integration
Trespass Countermeasures
• Evaluate a trackside wireless detection net for pedestrian safety.
• Investigate the use of Artificial Intelligence (AI) that can be employed in detecting trespassers.
Expected Outcomes:
• New technologies and solutions are expected to be then evaluated, tested, and implemented in a railroad
environment leading to technology transfer and an increase to public safety.
Grade Crossing Technology

• Continue research on AI algorithms.
• Analyze and evaluate ways that such algorithms can be applied to the rail environment.
Expected Outcomes:
• Technology transfer and implementation by railroad carriers (in cooperation with State and local
governments) of products and practices evaluated under this research area.
Grade Crossing Pedestrian Safety

• Continue evaluation of the effectiveness of grade separations that can be either roadways with pedestrian
paths, or dedicated pedestrian underpasses or overpasses.

• Finalize the evaluation of new types of pedestrian gates (known as “gate skirts”) that can aid in preventing
pedestrians from crossing the tracks when a train is approaching.
Expected Outcomes:
• Recommendations to local and State governments for the planning and construction of grade separations.
Results from the evaluation of pedestrian treatments are expected to be considered by the railroads in
cooperation with local communities.
Grade Crossing Modeling and Simulation

• Continue GradeDec.Net improvements and detailed railroad traffic modelling.
Expected Outcomes:
• Continue improvements to GradeDec.Net, which helps users estimate the costs and benefits of grade crossing
investments by comparing the reduced costs of fatalities, injuries, and property damage from possible
incidents, reduced travel times, and reduced emissions to the construction costs.
Grade Crossing and Trespass Outreach and Education

• New tools potentially made available to law enforcement partners will be unmanned aerial vehicles (UAV).
• Continue to disseminate rail ROW trespass prevention outreach materials.
• Organize a workshop by mid-2019. This workshop will continue the collaboration effort among several
national and international stakeholders on trespass and suicide issues.
Expected Outcomes:
• Improving public safety through further dissemination and reception of educational and training aids
• Proving the effectiveness of deploying police officers along the railroad
• Formation of an international working group on trespass prevention

This program supports the DOT’s Safety and Innovation strategic goals by developing and helping to deploy
innovative technologies to improve railroad operation safety and efficiency, affecting many communities.
Technology helps improve transportation of people and goods through rail, which has a significant positive impact
on rural communities’ accessibility and the U.S. economy as a whole. This program also supports the Accountability
goal in its role in the reduction of regulatory burden.

Historically, “rural community impact” has not been a criterion for measuring the TCC division’s research and
development portfolio. The TCC division will develop metrics for assessing the impact of its research on rural

communities. The following section shows how each TCC research area aligns to DOT goals and impacts rural
communities.

Human Factors Research
FRA’s HF Division aims to reduce railroad accidents caused by human error. The HF division conducts research and
development activities related to safe rail operations and the safe integration of people with technology. Areas of
research within the HF division include rail trespass and suicide prevention; technology, automation, and systems
design; fatigue; project evaluation; highway-rail grade crossings; and SLSI support.
FRA RD&T takes a non-regulatory approach to human factors for safety and efficiency in the railroad industry. By
implementing established research practices and education oriented for the rail industry, attention to human
factors is encouraged rather than regulated.
Rail Trespass and Suicide Prevention

• Human Factors research on rail trespass and suicide addresses the two leading categories of rail fatalities in
the U.S. Hundreds of people die every year on train tracks due to trespassing or suicide.
• HF should examine the human behaviors associated with rail trespass and suicide to increase rail safety and
decrease the number of fatalities along the ROW.
• Rail carriers, consultants, and academics across the globe invest research dollars in studying trespass and
suicide prevention. Fatalities along the ROW due to trespass and suicide are a universal; they can happen
anywhere there is an active railroad.
• FRA has been tracking rail suicides in the U.S. since 2011 and learned that suicide prevention is something rail
carriers can do effectively, with the right training. Also, FRA has learned that media reporting of rail suicides
can trigger copycat events. FRA has identified that the common causal factors for trespassing are: shortest
distance between two points, recreation (e.g., ATV riding), and criminal behavior (e.g., drug use, graffiti, theft).
Intoxicants are often found in trespassers.
• Human Factors research on trespass and suicide prevention should continue indefinitely; as long as there are
fatalities along ROWs that can be attributed to human error (e.g., distracted walking along the tracks with
earbuds, photographing along the tracks and not paying attention to oncoming train, intentionally causing
harm to oneself), FRA will need to continue to study mitigation strategies.
• Continue to conduct pilot studies with rail carriers that are implementing strategies to mitigate trespass and
suicide.
• Evaluate the effectiveness of these strategies and disseminate the results in the FRA eLibrary.
• Update the FRA report that reviews known characteristics of victims of rail trespass and suicide in the U.S. (last
version: Defining Characteristics of Intentional Fatalities on Railway Right-of-Way in the United States, 2012-
2014).
• Assist FRA’s Office of Railroad Safety in studying trespass prevention strategies proposed in the August 2018
report to Congress.
Expected Outcomes:
The outcome goals of the trespasser and suicide prevention research topic area are to:
• Better understand the causal factors behind why individuals contemplating suicide consider this method to
end their lives.
• Identify countermeasures to prevent accidents attributable to trespassing and suicide.
• Identify and plan new efforts to support FRA rail trespass and suicide prevention.
• Track media reports of suicide and trespass incidents on the rights-of-way.
• Better understanding of how to improve cause of death determinations for rail fatalities.
• Create an internal database to map suicide and trespass casualties.
• Use GIS mapping capabilities to work with stakeholders to better understand their trespass/suicide problem to
determine the most effective mitigation strategies.
Automation, Operating Personnel Information Management, and Control

HF addresses the prudent integration of people with automation technology by conducting research, particularly
on automation and manpower, personnel, human factors engineering, safety, and training. These are the primary
aspects where automation intersects with human behavior and human operational requirements. The application
of research results in this area by the industry will yield better-performing man-machine collaborative systems.
• Studying the created prototype in CTIL (approximately 30 subjects)
• Validation of the fatigue state classification algorithm (includes machine learning)
• Conducting research of the HUD in CTIL
Expected Outcomes:
• Results of the study to include an initial assessment of the prototype’s usability.
• Demonstration of the prototype in CTIL
• An assessment of the usability of the prototyped system
Fatigue
Employees in the railroad industry are susceptible to the risk of injury and property damage caused by human
fatigue and loss of attentiveness due to around-the-clock operations. The Human Factors division seeks to develop
interventions or solutions to mitigate the effect of irregular work hours, long shifts, and the unpredictability of on-
duty times associated with the U.S. rail industry. Railroad workers need training, tools, and alertness to conduct
their jobs properly and safely.
• Activities include survey distribution, follow-up focus groups, and data analysis.
• Communication and outreach to publicize the survey to stakeholder organizations to increase participation
among the targeted sample.
• Focus group sessions with relevant representatives of the stakeholder organizations to explore in greater
detail the responses from the survey.
• Descriptive analyses will be used to assess the commute times of locomotive engineers along with their
opinions and perceptions of the factors affecting their fatigue and safety.
• A final report will be drafted.
Expected Outcomes:
Outcomes of the survey will reflect the opinions and perceptions of the workers (locomotive crew) most directly
exposed to fatigue in locomotive operations and will help identify problems in this area.
Project Evaluation

• Project evaluations of government-funded research projects use rigorous methods to assess the extent to
which, and ways, programs goals are met.
• Project evaluation of the SLSI will promote accountability in SLSI’s programs. Evaluation by an independent,
third-party organization provides unbiased evidence about the extent to which the SLSI’s programs are (or are
not) working as intended.
• FRA should continue to pursue this investment in project evaluation because it monitors the progress and
success of the project and promotes accountability. The SLSI receives a directed grant from FRA to fund its
programs; built-in project evaluation provides evidence that these funds are being spent on programs that
improve the safety of small railroads.
• Only one organization provides project evaluation services to SLSI.
• FRA external project evaluation of the SLSI’s processes and procedures have identified opportunities for it to
improve and build on lessons learned from the pilot testing of the processes and procedures.
• Project evaluation of SLSI will continue as long as it receives funding from FRA.
• Continue formative and summative evaluations of SLSI’s programs, including the safety culture assessment
process and follow-up assessment process
• Develop one-pagers on the outcomes of SLSI’s work, for distribution to Congress and the public.
Expected Outcomes:
The GPRA and the GPRA Modernization Act of 2010 require Federal agencies to assess the manner and extent to
which their programs achieve intended objectives. Consistent with the GPRA directive, FRA RD&T conducts project
evaluations to:
• Meet FRA RD&T accountability requirements.
• Guide and strengthen FRA RD&T programs.
• Facilitate knowledge diffusion and technology transfer.
• Obtain input, feedback, and data regarding industry and government-supported programs.
• Build FRA RD&T evaluation capacity.
• Contribute to improving railroad safety.
Highway-Rail Grade Crossing

• Driver behavior accounts for up to 94 percent of vehicle crossing accidents for the U.S. railroad system; thus,
efforts to decrease human errors are critical. It is an FRA goal and priority to significantly improve grade
crossing safety and reduce grade crossing accident rate.
• Human Factors research addresses human behavior at grade crossings and the extent to which individuals
understand new technologies to notify them of an approaching train.
• If drivers do not understand a new technology that is implemented, grade crossing safety will not improve.
Technology transfer and user adoption requires an understanding of the technology and user behavior.
• Rail carriers, consultants, and academics across the globe invest research dollars in studying grade crossing
safety.
• FRA has invested in grade crossing research in the past. FRA has learned that there are limited safety benefits
gained when new technologies are implemented without a complete understanding of how humans will
interact with and react to that technology.
• Human factors research on grade crossing safety should continue indefinitely; as long as there are fatalities at
grade crossings that can be attributed to human error, FRA will need to continue to study mitigation strategies.
• Examine trends in driver behavior at grade crossings and work with rail carriers to implement intervention
strategies to improve safety at grade crossings.
Expected Outcomes:
• Better understand the causal factors behind why individuals violate warning signals at grade crossings.
• Improve safety by reducing the likelihood of accidents occurring and their severity should an accident occur.
• Develop grade crossing technology that considers human behavior in its design and minimizes the potential for
human errors.
Short Line Safety Institute *

• Human Factors provides program monitoring and support of SLSI. The SLSI addresses the safety of Class II and
Class III railroads, which are small railroads in rural locations with limited resources for safety training and
education.
• Funding for this project should continue because small railroads do not have the budget or personnel to
conduct safety culture assessments, training, and education at their railroads.
• FRA receives earmarked funding specifically to support SLSI.
• HF has learned that Class II and Class III railroads are committed to a strong safety culture, but could use
assistance with leadership development training.
*This funding is an earmark grant provided by Congress annually for the Short Line Safety Institute. In addition to
the total budget for FRA RD&T. If Congress chooses NOT to fund the $2M earmark, this activity will not be executed
in 2020.
SLSI will continue its core program areas:
• Conduct no-cost safety culture assessments on Class II and Class III railroads.
• Develop and pilot-test a follow-up process to measure safety culture shift.
• Provide no-cost training and education to Class II and Class III railroads on the topics of safety and safety
culture.
• Develop and disseminate outreach/safety communications materials that railroads can use onsite with
employees.
Expected Outcomes:
• SLSI helps small railroads operate more safely by assessing safety culture, recommending how to improve it,
and providing leadership, training, and education about safety culture.
• SLSI goals are to reduce the risk of accidents and incidents in the short line and regional railroad industry by
improving safety and safety culture.
Vigilance, Attention, and Distraction

The goal of this research project is to understand ways to improve factors that affect vigilance and sustained
attention. Research in this area includes conducting studies to learn more about cognitive and behavioral elements
that affect human sustained attention and vigilance. Railroad operation requires workers to manage and
understand information provided by multiple systems while keeping an eye on track and signals. The problems
this research is solving include:
• Loss of operator focus and distraction.
• Accidents caused by human error.

• Collaborate with industry to research roadway worker fatalities related to adjacent track and train approach
warnings.
Expected Outcomes:
• Reduce accidents caused by distraction.
• Improve operator decision making and performance.


The HF Research program aligns with the DOT Strategic Goal Safety and the DOT Critical Transportation Topic
Promoting Safety. Successful execution of FRA’s mission requires research and development activities aimed at
improving railroad safety, efficiency, security, and capacity. Human errors account for more than one-third of all
train accidents in the U.S. railroad industry. Data does not allow causal linkages between FRA’s HF research
program and accident/incident reduction. However, if human factors continue to be a common probable cause of
rail accidents, FRA must continue to investigate new technologies and programs that help reduce human error and
improve safety in the industry.
The division provides direction to the rail industry on a spectrum of safety issues that are rooted in human
behavior and human performance (e.g., distraction, failure to perform correct procedure, design-induced human
error, error due to workload). Approximately 38 percent of rail accidents and incidents include human factors as a
causal or contributing factor.

The HF division has an impact on rural communities, most notably through the following project areas: grade
crossing safety, trespasser and suicide prevention, and SLSI. The HF division expects that its research on the
underlying causes and circumstances of accidents and incidents will have a positive impact on reducing the
accident and incident rates in rural areas. This information, in turn, will help FRA decide the appropriate measures
to take to improve safety.
Historically, “rural community impact” has not been a criterion for measuring the HF division’s research and
development portfolio. The Human Factors division will develop metrics for assessing the impact of its research on
rural communities.
[END]

Fy19 Fra Amrp

Uploaded by

Document Information

Original Title

Copyright

Available Formats

Share this document

Share or Embed Document

Sharing Options

Did you find this document useful?

Is this content inappropriate?

Copyright:

Available Formats

Fy19 Fra Amrp

Uploaded by

Copyright:

Available Formats

United States Department of Transportation

Annual Modal Research Plans

DR. MARYAM ALLAHYAR, OFFICE OF RESEARCH, DEVELOPMENT & TECHNOLOGY

FRA’s RD&T program consists of 10 critical program areas, which include:

1. Hazardous Material (HazMat) Transportation

Hazardous Material Transportation

Track and Structures

Highway-Rail Grade Crossing and Trespassing

Train Control and Communication

Train Occupant Protection

AMRP Template FY2019-FY2020 2/15/2018 Page 2

Testing Facilities and Equipment

AMRP Template FY2019-FY2020 2/15/2018 Page 3

Activities for FY19 include:

Who else is researching this issue?

Alignment with DOT Strategic Goals

Expected total project cost and expected funding for FY 2019

Is there a non-Federal financial contribution? If so, how much?

AMRP Template FY2019-FY2020 2/15/2018 Page 4

Why should we pursue (or invest in) this research?

Who else is researching this issue?

Objectives, activities, and what is the problem being addressed?

Expected total project cost and expected funding for FY 2019

Is there a non-Federal financial contribution? If so, how much?

A. Railroad Crossing Violation Warning System (RCVW) $850,000

Why should we pursue (or invest in) this research?

Who else is researching this issue?

Objectives, activities, and what is the problem addressed?

AMRP Template FY2019-FY2020 2/15/2018 Page 6

Alignment with DOT Strategic Goals

Expected total project cost and expected funding for FY 2019

Is there a non-Federal financial contribution? If so, how much?

Why should we pursue (or invest in) this research?

Who else is researching this issue?

AMRP Template FY2019-FY2020 2/15/2018 Page 7

Objectives, activities, and what is the problem being addressed?

Alignment with DOT Strategic Goals

Expected total project cost and expected funding for FY 2019

Is there a non-Federal financial contribution? If so, how much?

C. Generalized Train Movement Simulation (GTMS) $75,000

Why should we pursue (or invest in) this research?

Who else is researching this issue?

AMRP Template FY2019-FY2020 2/15/2018 Page 8

Objectives, activities, and what is the problem being addressed?

Alignment with DOT Strategic Goals

Expected total project cost and expected funding for FY 2019

Is there a non-Federal financial contribution? If so, how much?

Why should we pursue (or invest in) this research?

AMRP Template FY2019-FY2020 2/15/2018 Page 9

Objectives, activities, and what is the problem being addressed?

Alignment with DOT Strategic Goals

Expected total project cost and expected funding for FY 2019

Is there a non-Federal financial contribution? If so, how much?

A. Monitoring Engineer Fatigue (MEFA) System $179,580

AMRP Template FY2019-FY2020 2/15/2018 Page 10

Why should we pursue (or invest in) this research?

Who else is researching this issue?

Objectives, activities, and what is the problem being addressed?

Alignment with DOT Strategic Goals

Expected total project cost and expected funding for FY 2019

Is there a non-Federal financial contribution? If so, how much?

Objectives, activities, and what is the problem being addressed?

Alignment with DOT Strategic Goals